Regulatory Assurance Internal Audit Manager

Basic Purpose of Job The Quality Assurance over Regulatory Reporting team within the Controllers Organization is a second line of defense group They are responsible for the independent verification of controls and processes over regulatory reporting including reviewing for compliance with relevant regulations The team works closely with other functions across Finance Global Treasury Risk Management and Business Units as well as other assurance functions namely Corporate Audit Responsibilities Tasks Include Execute a framework to test if the internal systems supporting compliance with regulatory requirements and expectations are properly designed documented and implemented and include appropriate governance and data quality controlsDocument process flows to identify controls and control gapsChallenge assess detail test the design and operating effectiveness of controlsDocument testing results in work papersAssist in the identification and risk assessment of issues and work with management to track issues to resolutionDevelop subject matter expertise in regulatory requirements best practices and expectationsReport the results of your work to your FRA managerBuild relationships with key business stakeholdersInteract with business groups Job Requirements Education and Experience Bachelor s Degree in Accounting Chartered Accountant CA and or Certified Public Accountant CPA with 810 years of progressive auditing experience preferably financial services and or Big 4Certified Internal Auditor is a plusFamiliarity with FRB regulations and SEC requirements associated with the Financial Services Industry Skills Knowledge Auditing skills and experience in the review and interpretation of regulatory requirementsExceptional analytical and critical thinking abilities able to develop and convey a point of viewStrong interpersonal oral and written communication skills ability to effectively challenge and influenceStrong attention to detail and accuracyAbility to multitask and take on a challenging workload and assignmentsAbility to be proactive with minimal direction ability to work independently and meet deadlinesInquisitive and curious about business and functions strong desire to learnHigh energy and positive attitudeProfessionalism dependability integrity and trustworthiness combined with a cooperative attitude Ability to thrive in a team environment working collaboratively with others