Associate Principal, Business

1 day ago

Chicago, United States Aegistech Full time
Job Description:

Our client is looking to hire an Associate Business & Risk Auditor for a full-time role at their Chicago Offices.This is a Hybrid on-site role, and the candidate selected is required to be in the office 3 times a week.All candidates must be able to work without sponsorship - no exceptions.

The role is to support independent assessments of the client's Financial and Operational Business Processes, Risk Management, and other objectives as needed. It will determine the sufficiency of management's controls and activities related to the management of regulatory, operational, and strategic risks, presenting recommendations for improvements to the engagement team.

THE DAY-TO-DAY RESPONSIBILITIES:

Delivery
  • Support the team on delivery of assigned audits within the annual audit plan.
  • Support the team confirming a professional auditee experience.
  • Own 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, 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.

Quality
  • Maintain an understanding of policies, procedures, standards, and supporting technologies, educating staff accordingly, to 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. Leverage principles and standards to test and evaluate Corporate Risk Management processes and controls.
  • Keep current on Best Practices and emerging risks within the financial services industry and make recommendations for improvements.
  • Support effective relationships with business groups and leadership and partnering with management.

THE SKILLS YOU NEED TO GET THE ROLE:

5+ years of experience (audit-related) in conducting risk-based operational and compliance audits and projects, business process reviews and internal audits

TECHNICAL:
  • Microsoft Office applications - REQUIRED
  • Proficiency using Archer or other audit or Governance Risk and Compliance (GRC) software - PREFERRRED

BUSINESS SKILLS:
  • 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).
  • Experience working in a complex, fast paced environment
  • 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 is preferred.
  • Consulting and/or accounting firm experience is preferred.
  • 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.
  • Ability to communicate clearly and effectively, both orally and in writing, including the ability to handle potentially sensitive situations and discussions.


EDUCATION:
  • Bachelor's degree (or equivalent) in Accounting, Finance, Business Administration, or related field

CERTIFICATES / LICENSES:
  • 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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