BDO USA
Job Summary
The Risk Advisory Services – Financial Services (“RAS-FS”) Senior Associate is responsible for providing risk consulting and issues resolution to financial services clients in the areas of internal audit, business process improvement/transformation, regulatory compliance, risk management, information technology, and/or Sarbanes-Oxley (“SOX”). In this role, the RAS-FS Senior Associate participates in all stages of internal audit or consulting engagements, and provides assistance with planning, field work, engagement wrap up, and report composition, along with providing recommendations regarding client risk management. 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 the completion of analyses and research of client issues Documents and analyzes clients’ processes, risks, and controls with guidance and direction 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 members 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 / required timeline, while 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 associated 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 dimension of risk (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 all relevant audit and other software and engagement processes and procedures 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
Bachelor’s degree in Accounting or Finance, required Qualifications, Knowledge, Skills, and Abilities
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 other 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 One (1) or more years of supervisory experience, required CPA, CIA, CISA, and/or CFSA certification, preferred Proficient in the use of Microsoft Office Suite, specifically Excel, Word, and PowerPoint, required Solid understanding and experience planning and coordinating the stages to perform internal audits within financial institutions Knowledge of internal controls within and professional standards and regulations applicable to financial institutions Strong verbal and written communication skills Ability to adapt style and messaging to effectively communicate with professionals at all levels both within client organizations and the Firm Ability to successfully multi-task while working independently and within a group environment Superior analytical and diagnostic skills Capable of working in a demanding, deadline driven environment with a focus on details, accuracy, and responsiveness Ability to adapt to rapidly changing environments successfully Solid organizational skills, especially ability to meet project deadlines with a focus on details Capable of effectively supervising RAS-FS Associates and/or Interns and delegating work assignments as needed Build and maintain strong relationships with client personnel About Us
Join us at BDO, where you will find more than a career, you’ll find a place where your work is impactful, and you are valued for your individuality. We offer flexibility and opportunities for advancement. Our culture is centered around making meaningful connections, approaching interactions with curiosity, and being true to yourself, all while making a positive difference in the world. At BDO, our purpose of helping people thrive every day is at the heart of everything we do. Together, we are focused on delivering exceptional and sustainable outcomes and value for our people, our clients, and our communities. BDO is proud to be an ESOP company, reflecting a culture that puts people first, by sharing financially in our growth in value with our U.S. team. BDO is an 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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The Risk Advisory Services – Financial Services (“RAS-FS”) Senior Associate is responsible for providing risk consulting and issues resolution to financial services clients in the areas of internal audit, business process improvement/transformation, regulatory compliance, risk management, information technology, and/or Sarbanes-Oxley (“SOX”). In this role, the RAS-FS Senior Associate participates in all stages of internal audit or consulting engagements, and provides assistance with planning, field work, engagement wrap up, and report composition, along with providing recommendations regarding client risk management. 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 the completion of analyses and research of client issues Documents and analyzes clients’ processes, risks, and controls with guidance and direction 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 members 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 / required timeline, while 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 associated 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 dimension of risk (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 all relevant audit and other software and engagement processes and procedures 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
Bachelor’s degree in Accounting or Finance, required Qualifications, Knowledge, Skills, and Abilities
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 other 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 One (1) or more years of supervisory experience, required CPA, CIA, CISA, and/or CFSA certification, preferred Proficient in the use of Microsoft Office Suite, specifically Excel, Word, and PowerPoint, required Solid understanding and experience planning and coordinating the stages to perform internal audits within financial institutions Knowledge of internal controls within and professional standards and regulations applicable to financial institutions Strong verbal and written communication skills Ability to adapt style and messaging to effectively communicate with professionals at all levels both within client organizations and the Firm Ability to successfully multi-task while working independently and within a group environment Superior analytical and diagnostic skills Capable of working in a demanding, deadline driven environment with a focus on details, accuracy, and responsiveness Ability to adapt to rapidly changing environments successfully Solid organizational skills, especially ability to meet project deadlines with a focus on details Capable of effectively supervising RAS-FS Associates and/or Interns and delegating work assignments as needed Build and maintain strong relationships with client personnel About Us
Join us at BDO, where you will find more than a career, you’ll find a place where your work is impactful, and you are valued for your individuality. We offer flexibility and opportunities for advancement. Our culture is centered around making meaningful connections, approaching interactions with curiosity, and being true to yourself, all while making a positive difference in the world. At BDO, our purpose of helping people thrive every day is at the heart of everything we do. Together, we are focused on delivering exceptional and sustainable outcomes and value for our people, our clients, and our communities. BDO is proud to be an ESOP company, reflecting a culture that puts people first, by sharing financially in our growth in value with our U.S. team. BDO is an 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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