Internal Controls AVP

Location: New York, NY

Salary: 95,000 -130,000 base + bonus

A major international investment bank is looking for an AVP of Internal Controls to support their finance business. The team here is growing and outsourcing the majority of the administrative controls work to a team overseas. Hours here are incredible (9-5 year round) and this person will have the flexibility to work from home.

Responsibilities Include:

  • Manage the assigned conformance of instructions review process.
  • Manage the assigned transaction testing process, which includes the oversight of the scheduling and conduct of walkthrough meetings and the selection of appropriate samples for testing.
  • Manage the assigned controls testing process, which includes the oversight of the scheduling and conduct of walkthrough meetings and the selection of appropriate samples for testing, review and challenge of the design of controls and review of testing procedures in line with policies and standards.
  • Maintain full appropriate documentation that is auditable.
  • Report and communicate all assessments to the appropriate personnel.
  • Review of issues remediation documentation.
  • Provide training and guidance relating to conformance reviews, transaction and controls testing and current regulatory developments.
  • Provide regular and timely reporting and feedback to the management team.
  • Help build and maintain effective working relationships with other Finance areas (Regulatory Reporting, Product Control, and Financial Control) and regional Control teams to ensure a co-ordinated and consistent approach to control initiatives and implement best practice standards.
  • Assist with ad-hoc investigations and peer reviews.Apply knowledge of control policies, standards and guidelines to assist with the oversight of implementation of the CFO Attestation requirements

Required Experience:

  • 3+ years of experience within a national CPA firm (big 4 preferred) or within internal controls, internal audit or SOX team from another bank or asset manager
  • CPA preferred but not required