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Position: Operational Risk Associate
Job Number: MS03534
Location: NY - New York City
Date Posted: 2017-04-25
Salary Range: $101-125k
Job Summary:

Operational Risk and Internal Audit Associate at Top Financial Advisory firm! 

Company Information:

Name: Financial Services Firm

Job Description:

This newly created position which reports directly to the Chief Financial Officer, will have interactions with various business units and will focus on the following two general areas:


1) Operational Risk Oversight: This will entail reviewing significant operational workflows and
developing an Operational Risk Framework, documenting the various workflows (and related controls), and suggesting/implementing process and/or control improvements.


2) Internal Audit: This will include the development and execution of an internal audit program,
including the testing of policies, practices and controls associated with the workflows mentioned
above, as well as fostering the SSAE16 Audit process.

Requirements / Qualifications:

The ideal candidate possesses 2 - 6 years of relevant experience either with an asset manager or bank, or
with a Big 4 Accounting Firm with Internal Audit and/or SSAE16 experience. CPAs are preferred. In
addition to strong writing and communication skills, the ideal candidate has experience with:
1) Identifying significant operational processes and potential operational and financial risks
within those processes,
2) Determining control objectives which address the risks within the processes,
3) Identifying key and compensating controls that mitigate such risks,
4) Establishing a framework for documenting the control environment and monitoring its
operational effectiveness,
5) Implementing this framework into the live operating environment, and
6) Providing key performance information to senior management and operational risk reports.

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