Audit Associate – Internal Consulting (financial Services) – NYC

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This is a newly created role for our Internal Consulting, Audit Group. This function will directly support the Consulting and Review activities of this new team. The department has initiated a strategy to focus attention on enterprise risk and emerging industry issues that may have had, or may have an impact on the operations in the U.S. with the objective of delivering strategic messages at the holding company (cross affiliate level); and performing review of the holding company activities as it expands its mandate. The incumbent will, therefore, assist in the execution of the key activities to support the team in the following activities:

Perform reviews of Holding Company (governance) activities

Perform enterprise reviews (across affiliate companies) to evaluate and report on special focus, executive management request, enterprise risk or ‘’lessons learned’ (industry or internal issues)
Assist with peer (“audit-on- audit”) review of affiliate audit functions
Coordinate any cross functional (entity) reviews

The incumbent is responsible for executing effective evaluation and testing in line with the plan strategy, supervising the engagements, including working with a team of professionals (peers and juniors) to execute reviews (including process evaluation and testing, and work paper documentation; evaluation of key processes risks and controls) and drafting issues and developing the audit report in accordance with professional auditing standards and Affiliate Audit Methodology. The incumbent will also assist the leadership with local strategic initiatives designed to further the global practice.

The incumbent is expected to be an effective and hands-on supervisor and coach to his (her) team, contribute to the overall effectiveness of the review processes and participate on team initiatives. The incumbent must also communicate effectively with senior business and peer management on control issues and be able to articulate his/her perspective on complex issues including, emerging risks.

Successful execution of the role calls for strong project management skills, excellent client and team relationships and staff coaching; strong communication supported by good analytical abilities. As the focus of this team is enterprise and strategic themes the incumbent needs grounding (even practical, business line experience) with a solid understanding of the process, risk and controls in commercial and corporate banking functions.


  • A seasoned audit supervisor/ Jr. Manager with (as noted above) a strong commercial banking audit quality assurance and/or consulting experience record.
    3-5 years’ experience supporting a manager in an audit function
    Knowledge of the banking/ financial industry, regulatory and emerging risks
  • Solid product knowledge in the commercial / investment banking space
  • Solid Microsoft Office skills – PowerPoint, Word, Excel
  • College degree and professional experience/ certification
    Excellent organization, time management skills; and degree of independence
  • Knowledge and experience in risk-based audit methodologies, risk assessments, annual planning, risk and control, quality assurance practices

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