BDO USA
Senior Associate, RAS – Financial Services
BDO USA, San Francisco, California, United States, 94199
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 Sarbanes-Oxley (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.
Experience, qualification, and soft skills, have you got everything required to succeed in this opportunity Find out below. Job Duties
Acts as primary day-to-day contact for clients regarding basic questions and information Conducts informational interviews and facilitates meetings with clients during engagement process Obtains information, documents, and data from clients to support analyses and research of client issues Documents and analyzes clients’ processes, risks, and controls with guidance from senior RAS-FS professionals Develops initial deliverables and/or solutions to client issues Reassesses risks and communicates with senior RAS-FS professionals and/or client as necessary Assists with management of engagements to ensure engagement metrics are achieved Utilizes research tools, databases, and trade publications to develop understanding of client’s industry Develops relationships with client personnel and management Prepares formal and informal presentations for client meetings Partners with RAS-FS leadership to complete research and draft proposals and reports as necessary Implements project plans, and maintains all documentation and work papers associated with client engagements Conducts risk assessment of assigned departments and/or functional areas in established timelines, overseeing staff Develops risk-based audit programs / designs test procedures Determines scope of projects in conjunction with the Engagement Manager Documents understanding of internal audit areas and/or processes, and identifies relevant risks and key controls Assesses internal control design and operational effectiveness Conducts audit testing of specified areas and/or processes, and identifies reportable issues and risk dimensions (impact and likelihood) Determines compliance with applicable regulations and/or policies and procedures Communicates findings to senior management and drafts comprehensive reports for audited areas 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 to ensure quality standards are met Ensures RAS-FS Associates and/or Interns are trained on relevant audit software and engagement processes Delivers periodic performance feedback and completes performance evaluations for RAS-FS Associates and/or Interns Acts as mentor to RAS-FS Associates and/or Interns as appropriate Education & Qualifications
Bachelor’s degree in Accounting or Finance, required Experience
Two (2) or more years of banking, asset management, brokerage, and/or other financial services experience within a public accounting firm or financial institution performing internal audit, compliance, risk management, and/or related risk/control 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 (1) or more years of experience in performing internal audits of banking, asset management, brokerage, and/or other financial services activities, required, in areas such as: Lending Activities; Treasury and Finance; Core Regulatory Requirements; Bank/Asset Management/Brokerage Operations; Human Resources One (1) 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 audits within financial institutions and related controls Knowledge of professional standards and regulations for financial institutions Strong verbal and written communication; ability to adapt messaging to audiences at all levels Ability to multi-task, work independently and in a team, and meet deadlines Analytical and diagnostic skills; attention to detail and accuracy Ability to adapt to rapidly changing environments Supervisory capability for RAS-FS Associates and/or Interns Build and maintain relationships with client personnel Salary information: National Range $85,000 - $100,000; Maryland Range $85,000 - $100,000; NYC/Long Island/Westchester Range $85,000 - $100,000 About Us: 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. BDO USA, P.A. is an EO employer M/F/Veteran/Disability BDO is committed to delivering exceptional experiences to middle market leaders. We believe in diversity, empowerment, and a culture focused on quality and integrity.
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Experience, qualification, and soft skills, have you got everything required to succeed in this opportunity Find out below. Job Duties
Acts as primary day-to-day contact for clients regarding basic questions and information Conducts informational interviews and facilitates meetings with clients during engagement process Obtains information, documents, and data from clients to support analyses and research of client issues Documents and analyzes clients’ processes, risks, and controls with guidance from senior RAS-FS professionals Develops initial deliverables and/or solutions to client issues Reassesses risks and communicates with senior RAS-FS professionals and/or client as necessary Assists with management of engagements to ensure engagement metrics are achieved Utilizes research tools, databases, and trade publications to develop understanding of client’s industry Develops relationships with client personnel and management Prepares formal and informal presentations for client meetings Partners with RAS-FS leadership to complete research and draft proposals and reports as necessary Implements project plans, and maintains all documentation and work papers associated with client engagements Conducts risk assessment of assigned departments and/or functional areas in established timelines, overseeing staff Develops risk-based audit programs / designs test procedures Determines scope of projects in conjunction with the Engagement Manager Documents understanding of internal audit areas and/or processes, and identifies relevant risks and key controls Assesses internal control design and operational effectiveness Conducts audit testing of specified areas and/or processes, and identifies reportable issues and risk dimensions (impact and likelihood) Determines compliance with applicable regulations and/or policies and procedures Communicates findings to senior management and drafts comprehensive reports for audited areas 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 to ensure quality standards are met Ensures RAS-FS Associates and/or Interns are trained on relevant audit software and engagement processes Delivers periodic performance feedback and completes performance evaluations for RAS-FS Associates and/or Interns Acts as mentor to RAS-FS Associates and/or Interns as appropriate Education & Qualifications
Bachelor’s degree in Accounting or Finance, required Experience
Two (2) or more years of banking, asset management, brokerage, and/or other financial services experience within a public accounting firm or financial institution performing internal audit, compliance, risk management, and/or related risk/control 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 (1) or more years of experience in performing internal audits of banking, asset management, brokerage, and/or other financial services activities, required, in areas such as: Lending Activities; Treasury and Finance; Core Regulatory Requirements; Bank/Asset Management/Brokerage Operations; Human Resources One (1) 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 audits within financial institutions and related controls Knowledge of professional standards and regulations for financial institutions Strong verbal and written communication; ability to adapt messaging to audiences at all levels Ability to multi-task, work independently and in a team, and meet deadlines Analytical and diagnostic skills; attention to detail and accuracy Ability to adapt to rapidly changing environments Supervisory capability for RAS-FS Associates and/or Interns Build and maintain relationships with client personnel Salary information: National Range $85,000 - $100,000; Maryland Range $85,000 - $100,000; NYC/Long Island/Westchester Range $85,000 - $100,000 About Us: 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. BDO USA, P.A. is an EO employer M/F/Veteran/Disability BDO is committed to delivering exceptional experiences to middle market leaders. We believe in diversity, empowerment, and a culture focused on quality and integrity.
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