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Position: Manager in US Finance Risk and Control, Quality Assurance
Job Number: MS03549
Location: NY - New York City
Date Posted: 2017-05-03
Salary Range: $101-125k
Job Summary:

Exciting new role at growing Investment Bank! 

Company Information:

Name: Leading Investment Bank

Job Description:


  • Assist in developing a quality assurance program over IHC regulatory and financial reporting processes to test data quality and process controls, including required documentation.
  • Create quality assurance scope, testing plan, and communication materials for each report as appropriate.
  • Execute transaction and data testing according to the quality assurance program methodology and plan, including documentation and communication of the results.   
  • Ensure the deficiencies identified in the reporting process are properly documented and tracked for resolution in the appropriate issue management tool.
  • Assist in identifying and validating that appropriate key controls are in place and documented according to the policy to ensure completeness, accuracy, and timeliness of U.S. produced regulatory reports. This includes advising on control improvements that are required.
  • Assist in assessing and monitoring the adequacy and effectiveness of internal controls, assessing the accuracy and completeness of reports and data and compliance with applicable laws and regulations
  • Assist in performing risk assessment of reports produced by the US FRC, including documentation and presentation to senior management.
  • Assist in ensuring that regulatory rules across are properly interpreted and approved by the US FRC and that these rules have been adopted into the regulatory reporting process.  Additionally, ensure the accuracy of financial statement reporting including adherence to US GAAP and IFRS as appropriate.
  • Track issues identified by the US FRC and providing status reports on regular basis while supporting resolution efforts
  • Assist in creating a summary report on at least an annual basis regarding the health of the internal controls related to key reports, including significant matters requiring attention and providing the report to Senior Committees (e.g. CFO Council) 


Requirements / Qualifications:

  • 5yrs + experience in Finance with focus on US financial and regulatory reporting, risk and control, or Internal Audit
  • Experience in data or transaction testing (i.e. regulatory exam, or internal/external audit)
  • Passion and understanding of US regulatory reporting environment
  • Results orientated and a team player with high degree of personal impact
  • Demonstrated ability to translate business needs and regulations into documented business requirements
  • Excellent communication and facilitation skills
  • Self-motivated and able to perform with minimal supervision
  • Experience in a global investment bank or finance industry
  • Experience in CCAR process preferred
  • Proficiency in Microsoft Excel, Word, and PowerPoint
  • Bachelor’s degree in Finance or Accounting

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