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Litigation/Attorney/In House/New York City, New York

New York City NY Corporate and Investment Bank - Compliance/Legal VP Audit Manager The candidate will be responsible for managing a team of professionals responsible for assessing the adequacy and effectiveness of controls designed to ensure the CIB businesses comply with relevant key regulatory requirements. Will be involved monitoring adherence to regulatory change, helping ensure appropriate audit coverage of regulatory compliance within CIB business audits, leading the planning and execution of CIB Compliance related audits, and maintaining relationships with and providing control related advice to business stakeholders. Covering the CIB businesses including risk assessment, audit planning, audit testing, control evaluations, report drafting and follow up and verification of issue closure. Completed timely and within budget. Establish strong working relationships with CIB Compliance management. Work closely with regional/global CIB audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders. Coach and develop team members. Develop recommendations to strengthen internal controls and improve operational efficiency. Finalize audit findings and using judgment opine on the control environment. Drive plan creation, execution and changes based on changing business risk profile. Perform ongoing analysis of risk trends through the development and implementation of audit coverage. Stay up-to-date with evolving regulatory changes and market events impacting the business. Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence.

The candidate should have minimum Bachelor's degree; advanced degree and/or certification (CPA, JD, MBA, CAMS etc) preferred. Must have 8+ years of audit or relevant business experience. Should have proven ability to build strong relationships with key stakeholders, desire to learn quickly, be flexible and think strategically. Proven ability to multitask as well as assess and change priorities. Ability to work well individually, and in teams, share information, support colleagues and encourage participation. Strong skills in time management, problem solving, written and oral communication. Enthusiastic, effective under pressure and willing to take personal risk and accountability. Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness. Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner. Flexibility to travel as required. Should have strong, comprehensive understanding of key broker-dealer and/or banking regulations and current regulatory developments relevant to CIB (SEC/FINRA, AML, Dodd-Frank etc.) and key Compliance priorities (including oversight of Anti-Money Laundering, managing MNPI, etc.). Must be an experienced professional should possesses strong auditing skills, a good knowledge of the key regulations and current regulatory developments relevant to CIB, and a strong understanding of internal control systems within a financial institution. Must have working knowledge of CIB business activities, and practical experience dealing with risk management principles and controls. Should be a strong team player, able to multi-task and work under pressure in a dynamic business environment.
Legal 8 - 0 Full-time 2013-05-10
 
Litigation/Attorney/In House/New York City, New York
Refer job# XKBK26951
 
Corporate and Investment Bank - Compliance/Legal VP Audit Manager The candidate will be responsible for managing a team of professionals responsible for assessing the adequacy and effectiveness of controls designed to ensure the CIB businesses comply with relevant key regulatory requirements. Will be involved monitoring adherence to regulatory change, helping ensure appropriate audit coverage of regulatory compliance within CIB business audits, leading the planning and execution of CIB Compliance related audits, and maintaining relationships with and providing control related advice to business stakeholders. Covering the CIB businesses including risk assessment, audit planning, audit testing, control evaluations, report drafting and follow up and verification of issue closure. Completed timely and within budget. Establish strong working relationships with CIB Compliance management. Work closely with regional/global CIB audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders. Coach and develop team members. Develop recommendations to strengthen internal controls and improve operational efficiency. Finalize audit findings and using judgment opine on the control environment. Drive plan creation, execution and changes based on changing business risk profile. Perform ongoing analysis of risk trends through the development and implementation of audit coverage. Stay up-to-date with evolving regulatory changes and market events impacting the business. Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence.

The candidate should have minimum Bachelor's degree; advanced degree and/or certification (CPA, JD, MBA, CAMS etc) preferred. Must have 8+ years of audit or relevant business experience. Should have proven ability to build strong relationships with key stakeholders, desire to learn quickly, be flexible and think strategically. Proven ability to multitask as well as assess and change priorities. Ability to work well individually, and in teams, share information, support colleagues and encourage participation. Strong skills in time management, problem solving, written and oral communication. Enthusiastic, effective under pressure and willing to take personal risk and accountability. Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness. Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner. Flexibility to travel as required. Should have strong, comprehensive understanding of key broker-dealer and/or banking regulations and current regulatory developments relevant to CIB (SEC/FINRA, AML, Dodd-Frank etc.) and key Compliance priorities (including oversight of Anti-Money Laundering, managing MNPI, etc.). Must be an experienced professional should possesses strong auditing skills, a good knowledge of the key regulations and current regulatory developments relevant to CIB, and a strong understanding of internal control systems within a financial institution. Must have working knowledge of CIB business activities, and practical experience dealing with risk management principles and controls. Should be a strong team player, able to multi-task and work under pressure in a dynamic business environment.
 
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