Financial and Business Risk Auditor

2 weeks ago

Chicago, United States Request Technology, LLC Full time

***We are unable to sponsor for this permanent full-time role***

***Position is bonus eligible***

Prestigious Financial Company is currently seeking a Financial and Business Risk Auditor. Candidate will support independent assessments of the financial and operational business processes, risk management, and other objectives as needed. The role is responsible for determining the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks and presenting recommendations for improvements to the engagement team.

Responsibilities:

    • Support the team on delivery of assigned audits within the annual audit plan.  
    • Support the team confirming a professional auditee experience. 
    • Owning the audit quality, accuracy of results, and delivery in a timely manner.
    • Proactively identify regulatory, operational, and/or strategic risks to the organization and bring them to your engagement team.
    • Evaluate exceptions or inefficient practices for root causes and propose advice and recommendations for achievable solutions.
    • Leading audits related to organization changes including business requirements definitions, technology implementations (e.g., changes to the supported business processes), engagement and alignment of change initiatives to business objectives.
    • Maintaining an understanding of policies, procedures, standards, and supporting technologies, and educating staff accordingly, to effectively identify potential risks and alternatives to mitigate risk exposure leveraging leading practices.
    • Ability to understand professional principles and standards (e.g., AICPA, IIA IPPF, COSO) and the relevancy to risk management and impact on policies and procedures. In addition, leveraging these principles and standards to test and evaluate corporate risk management processes and controls.
    • Keeping current on best practices and emerging risks within the financial services industry and making recommendations for improvements as necessary.

Qualifications:

    • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.
    • Strong problem solving and analytical capabilities.
    • Demonstrated ability to gather, analyze, and evaluate facts, and prepare and present concise oral and written reports.
    • Ability to work independently or as part of a team, prioritizing multiple audit assignments to simultaneously complete each in a timely fashion.
    • Experience working in a complex, fast paced environment.
    • Experience using the principles, practices, and techniques involved in conducting audits in accordance with the requirements set forth in the International Standards for the Professional Practice of Internal Auditing published by the Institute of Internal Auditors (IIA).
    • [Preferred] Consulting and/or accounting firm experience.
    • [Preferred] Experience in Financial Services/Security Industry and working with regulatory organizations such as: Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), Federal Reserve.
    • [Required] Microsoft Office applications
    • [Preferred] Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software
    • Bachelor’s degree (or equivalent) in Accounting, Finance, Business Administration, or related field
    • 5+ years of experience (audit-related) in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits
    • [Preferred] one of the following or equivalent certifications: Certified Financial Services Auditor (CFSA), Certification in Risk Management Assurance (CRMA), Certified Internal Auditor (CIA), Certified Public Accountant (CPA)

 

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