Investment Bank Auditor

1 week ago

Tampa, Florida, United States Beta Search Inc Full time

Job Summary:


The Associate Auditor II role within the Internal Audit function is responsible for executing independent, objective assurance and consulting activities designed to assess and evaluate the effectiveness of the Bank's governance, risk management and control processes.

It reports to a director. This role includes, but is not limited to, execution of end-to- end audit process (e.g. planning, fieldwork testing, reporting, issues validation, etc.) and independently owning audit administration activities and project deliverables within the Corporate and Investment Banking and Transaction Banking domains

Major Responsibilities:

Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.

Act as a leader and role model and continuously improve self and department.

Build relationships with peers and clients within organization and exhibit a high standard of performance and professional conduct that will create a culture of integrity and inclusion, where all individual and departmental choices are rooted in good judgment and support banks Principal of Ethics and Conduct.

Operate with an innovative and flexible mindset by continuously identifying ways to enhance consistency, efficiency, quality and/or value.

Demonstrate professional skepticism and personal accountability.

Lead walkthrough meetings and interviews with business stakeholders to develop understanding of business processes.

Lead formal discussions with business stakeholders throughout the duration of audit engagements to communicate status or concerns.

Identify potential risks and controls and assist in developing scope and work programs.

Evaluate design and operational effectiveness of internal controls and identify control weaknesses.

Generate insightful, meaningful observations that effectively convey significance and impact on risk and/or risk management practices, reporting findings and audit issues to Audit Management.

Prepare workpapers and audit reports with documented results that adhere to methodology, applicable standards and regulatory requirements, using appropriate business and technical language.

Document workpapers demonstrating the work was appropriately performed (e.g., detailed lead sheets describing the control attributes that were tested and the results were documented in a manner to support the conclusions reached, effectiveness and sustainable controls are evident in documentation).

Documentation should stand alone to enable re-performance.

Identify control weaknesses and escalate and discuss findings with Audit Management and business stakeholders as appropriate.

Complete work on a timely basis and deliver work products that meet objectives and standards of methodology, applicable standards and regulatory requirements.

Education, Licensure, Year of Experience (and type of work experience):

A bachelor's degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.


Qualifications:

Minimum of 4 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies.

Experience preferred in internal/ external audit area of coverage or equivalent (such as risk and control function).

Exhibits effective communication (both verbal and written), negotiation and presentation skills; strong interpersonal skills; and ability to engage with all levels of internal audit and business line management.

Strong analytical and problem-solving skills.

Employs critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment.

Proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.). Ability to travel may be required.

  • SVP of Healthcare Investment Banking

    2 months ago

    Tampa, Florida, United States Selby Jennings Full time

    Title: Investment Banking Senior Vice President Company Summary: We are currently partnered with a MM Investment Bank looking to add an Investment Banking Senior Vice President to their Healthcare team. This Investment Banking Senior Vice President will have the opportunity to join a team that is on track to have another record year here in Tampa, acting as...

  • SVP of Healthcare Investment Banking

    4 weeks ago

    Tampa, Florida, United States Selby Jennings Full time

    Title: Investment Banking Senior Vice President Company Summary: We are currently partnered with a MM Investment Bank looking to add an Investment Banking Senior Vice President to their Healthcare team. This Investment Banking Senior Vice President will have the opportunity to join a team that is on track to have another record year here in Tampa, acting as...

  • IT Auditor, AVP

    1 week ago

    Tampa, Florida, United States MUFG Bank, Ltd. Full time

    Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...

  • IT Auditor, Analyst

    1 week ago

    Tampa, Florida, United States MUFG Bank, Ltd. Full time

    Do you want your voice heard and your actions to count? Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), the 7th largest financial group in the world. Across the globe, we're 120,000 colleagues, striving to make a difference for every client, organization, and community we serve. We stand for our values, building long-term...

  • Senior Auditor

    3 weeks ago

    Tampa, Florida, United States Citi Private Bank Full time

    The Senior Auditor is an intermediate level role responsible for performing moderately complex audits and assessments of Citi's risk and control environments in coordination with the Audit team. The overall objective is to utilize in-depth subject matter expertise to contribute to the development of new techniques / processes for the area or function and...

  • Sr Registered Phone Rep- Retirement and Benefits Investment Specialist

    4 weeks ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Sr Registered Phone Rep- Retirement and Benefits Investment Specialist

    1 month ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Financial Service Representative- Retirement and Benefits Investment Specialist Bilingual Spanish

    3 days ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities, and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for...

  • Senior Auditor

    1 week ago

    Tampa, Florida, United States The Mosaic Company Full time

    Start in Internal Audit and Rotate out and into the Business in as little as Two Years Internal Audit is a 100% fully rotational function and considered a key source of talent for the rest of the business. In the last 18 months, we have rotated-out 40% of our Internal Audit team into the business, both inside and outside of Finance. The fuel for the...

  • Registered Private Wealth Client Associate

    1 month ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Registered Private Wealth Client Associate

    4 weeks ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Relationship Banker-Spanish Required

    1 day ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day. One of the keys to driving Responsible Growth is being a great place to work for...

  • Internal Auditor/Compliance Tester

    1 week ago

    Tampa, Florida, United States Software Guidance and Assistance, Inc. Full time

    Software Guidance & Assistance, Inc., (SGA), is searching for an Internal Auditor/Compliance Tester for a contract assignment with one of our premier financial services clients in Tampa, FL. Responsibilities : Utilize a high-touch approach to partnering with HR stakeholders on the execution of the QC program under the Consent Order-related...

  • Sr Fraud Analyst II

    4 weeks ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:Start Date: 07/01/2024Work Schedule: Monday - Friday (8:30 AM to 5:00 PM)At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the...

  • Sr Fraud Analyst II

    2 months ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:Start Date: 07/01/2024Work Schedule: Monday - Friday (8:30 AM to 5:00 PM)At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the...

  • Credit Assistance Specialist Tampa FL 2nd Shift Bilingual Spanish

    4 weeks ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Credit Assistance Specialist Tampa FL 2nd Shift Bilingual Spanish

    3 weeks ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Senior Customer Service Specialist, Estate Servicing Operations

    2 months ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Senior Customer Service Specialist, Estate Servicing Operations

    4 weeks ago

    Tampa, Florida, United States Bank of America Full time

    Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

  • Strategy Senior Analyst

    1 week ago

    Tampa, Florida, United States Citigroup Inc Full time

    Research and identify internal audit industry best practices, that may be implemented in Citis IA methodology to further enhance and streamline the audit execution process. Evaluate opportunities to simplify, strengthen, and improve the methodology, Senior Analyst, Strategy, Internal Auditor, Senior, Analyst, International, Technology, Banking