BDO USA
Senior Associate, RAS – Financial Services
BDO USA, Stamford, Connecticut, United States, 06925
Overview
Senior Associate, RAS – Financial Services at BDO USA. The Risk Advisory Services – Financial Services (RAS-FS) Senior Associate provides risk consulting and issues resolution to financial services clients in internal audit, business process improvement/transformation, regulatory compliance, risk management, information technology, and/or SOX. The role participates in all stages of internal audit or consulting engagements, assisting with planning, field work, engagement wrap up, and report composition, and offers recommendations regarding client risk management. Job Duties
Act as primary day-to-day contact for clients regarding basic questions and information Conduct informational interviews and facilitate meetings with clients during engagement process Obtain information, documents, and data from clients to support analyses and research of client issues Document and analyze clients’ processes, risks, and controls with guidance from senior RAS-FS professionals Develop initial deliverables and/or solutions to client issues Reassess risks and communicate with senior RAS-FS professionals and/or client as necessary Assist with management of engagements to ensure engagement metrics are achieved Utilize research tools and publications to develop understanding of client’s industry Develop relationships with client personnel and management Prepare formal and informal presentations for client meetings Partner with RAS-FS leadership to complete research and draft proposals and reports Implement project plans and maintain documentation and work papers Conduct risk assessment of assigned departments and/or functional areas within established timelines, overseeing staff Develop risk-based audit programs and design test procedures Determine scope of projects in conjunction with the Engagement Manager Document understanding of internal audit areas and identify relevant risks and key controls Assess internal control design and operational effectiveness Conduct audit testing and identify reportable issues and risk dimensions (impact and likelihood) Determine compliance with applicable regulations and policies Communicate findings to senior management and draft comprehensive reports Other duties as required Ability to travel as needed Supervisory Responsibilities
Supervises the day-to-day workload of RAS-FS Associates and/or Interns on assigned engagements and reviews work products for quality Ensures RAS-FS Associates and/or Interns are trained on auditing software and engagement processes Delivers periodic performance feedback and completes evaluations for RAS-FS Associates and/or Interns Acts as mentor to RAS-FS Associates and/or Interns as appropriate Education and Qualifications
Bachelor’s degree in Accounting or Finance, required Two or more years of banking, asset management, brokerage, and/or other financial services experience in internal audit, compliance, risk management, or related controls functions, required Experience with internal controls including SOX/FDICIA flowcharts, documentation, and testing of controls, required Experience with IT audit and SOX with a focus on entity-wide risk assessment, required One or more years of internal audits in banking/asset management/brokerage activities covering areas such as Lending, Treasury/Finance, Core Regulatory Requirements, Bank/Asset Management/Operations, Human Resources, etc., required One or more years of supervisory experience, required Licenses/Certifications
CPA, CIA, CISA, and/or CFSA certification preferred Software
Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) required Experience with internal audit applications and research tools preferred Other Knowledge, Skills & Abilities
Strong understanding of internal controls and professional standards applicable to financial institutions Excellent verbal and written communication; ability to tailor messaging to client and firm audiences Ability to multi-task in a deadline-driven environment with attention to detail Strong analytical and diagnostic skills; ability to work independently and in teams Ability to build and maintain relationships with client personnel Compensation and location details: National Range: $85,000 - $100,000; Maryland Range: $85,000 - $100,000; NYC/Long Island/Westchester Range: $85,000 - $100,000. About Us
BDO is an ESOP company focused on delivering exceptional and sustainable outcomes for our people, clients, and communities. We offer flexibility and opportunities for advancement. We are committed to delivering exceptional experiences to middle market leaders and value diverse perspectives. Equal Opportunity Employer, including disability/vets. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status.
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Senior Associate, RAS – Financial Services at BDO USA. The Risk Advisory Services – Financial Services (RAS-FS) Senior Associate provides risk consulting and issues resolution to financial services clients in internal audit, business process improvement/transformation, regulatory compliance, risk management, information technology, and/or SOX. The role participates in all stages of internal audit or consulting engagements, assisting with planning, field work, engagement wrap up, and report composition, and offers recommendations regarding client risk management. Job Duties
Act as primary day-to-day contact for clients regarding basic questions and information Conduct informational interviews and facilitate meetings with clients during engagement process Obtain information, documents, and data from clients to support analyses and research of client issues Document and analyze clients’ processes, risks, and controls with guidance from senior RAS-FS professionals Develop initial deliverables and/or solutions to client issues Reassess risks and communicate with senior RAS-FS professionals and/or client as necessary Assist with management of engagements to ensure engagement metrics are achieved Utilize research tools and publications to develop understanding of client’s industry Develop relationships with client personnel and management Prepare formal and informal presentations for client meetings Partner with RAS-FS leadership to complete research and draft proposals and reports Implement project plans and maintain documentation and work papers Conduct risk assessment of assigned departments and/or functional areas within established timelines, overseeing staff Develop risk-based audit programs and design test procedures Determine scope of projects in conjunction with the Engagement Manager Document understanding of internal audit areas and identify relevant risks and key controls Assess internal control design and operational effectiveness Conduct audit testing and identify reportable issues and risk dimensions (impact and likelihood) Determine compliance with applicable regulations and policies Communicate findings to senior management and draft comprehensive reports Other duties as required Ability to travel as needed Supervisory Responsibilities
Supervises the day-to-day workload of RAS-FS Associates and/or Interns on assigned engagements and reviews work products for quality Ensures RAS-FS Associates and/or Interns are trained on auditing software and engagement processes Delivers periodic performance feedback and completes evaluations for RAS-FS Associates and/or Interns Acts as mentor to RAS-FS Associates and/or Interns as appropriate Education and Qualifications
Bachelor’s degree in Accounting or Finance, required Two or more years of banking, asset management, brokerage, and/or other financial services experience in internal audit, compliance, risk management, or related controls functions, required Experience with internal controls including SOX/FDICIA flowcharts, documentation, and testing of controls, required Experience with IT audit and SOX with a focus on entity-wide risk assessment, required One or more years of internal audits in banking/asset management/brokerage activities covering areas such as Lending, Treasury/Finance, Core Regulatory Requirements, Bank/Asset Management/Operations, Human Resources, etc., required One or more years of supervisory experience, required Licenses/Certifications
CPA, CIA, CISA, and/or CFSA certification preferred Software
Proficient in Microsoft Office Suite (Excel, Word, PowerPoint) required Experience with internal audit applications and research tools preferred Other Knowledge, Skills & Abilities
Strong understanding of internal controls and professional standards applicable to financial institutions Excellent verbal and written communication; ability to tailor messaging to client and firm audiences Ability to multi-task in a deadline-driven environment with attention to detail Strong analytical and diagnostic skills; ability to work independently and in teams Ability to build and maintain relationships with client personnel Compensation and location details: National Range: $85,000 - $100,000; Maryland Range: $85,000 - $100,000; NYC/Long Island/Westchester Range: $85,000 - $100,000. About Us
BDO is an ESOP company focused on delivering exceptional and sustainable outcomes for our people, clients, and communities. We offer flexibility and opportunities for advancement. We are committed to delivering exceptional experiences to middle market leaders and value diverse perspectives. Equal Opportunity Employer, including disability/vets. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability or protected veteran status.
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