Entry Level Audit Control

Job Description

BACHELOR'S DEGREE NOT REQUIRED

Top Skills:
- Financial/Auditing Experience a big plus if had
- Detail Oriented
- Excellent Communication Skills
- Ability to multi-task in a fast-paced environment

Team is responsible for providing a quality assurance check on all work conducted by the vendor in pulling information requested by auditors. The team is also responsible for working with different business units in the event that the requested information cannot be attained by themselves or vendor. Additionally, the team is responsible for assessing requests sent by auditors in order to determine if it can be processed by the firm or not. This person will be part of a team that works closely across organizational boundaries to ensure excellent customer service. In addition, they will also be working with external auditors to understand their requirements/requests when the need arises.

Job Responsibilities:
- Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for SEC rule 17A-13.
- Develop and maintain effective partnerships with all stakeholders on issues related to audit confirms.
- Manage, escalate, track and ensure resolution on issues that pose operational regulatory or reputational risk to the firm.
- Identify and contribute to operational risk projects related to strategic business initiatives.
- Ensures existence of mitigating controls and constantly question procedures, checklists and reports to ensure that they are current and accurate.

Qualifications