AVP Audit – Investment Bank Jobs in New York City, NY at The Peak Organization Inc

AVP Audit – Investment Bank

Are you tired of working in the Big 4?

Are you looking for a company that can actually provide you with career growth and professional development?

Our client is a top-tier financial services firm based in New York City and they have an immediate opening for an experienced auditor on their Capital Markets Audit Team. This is an excellent opportunity for an individual from another large investment bank or investment firm or for someone who is looking to make the jump from Big 4 into private. This role is at the AVP level and will be responsible for planning, performing and reporting the results of product-line and functional audits using the Audit Department’s risk based audit approach. Work is performed under the direction of Financial Audit Managers, with close collaboration with other audit team members, including IT audit, as part of an integrated audit approach, and may include individual or multiple auditor assignments.


Comprehensive risk assessment and engagement planning. This entails obtaining an in-depth understanding of each business and/or function being audited, identification and assessment of risks (including understanding the manner in which such risks are controlled and the audit approach required to ensure controls are appropriately designed and operating effectively) and preparing documentation (Workpapers, Planning Memorandum and Audit Program) that reflects the aforementioned information and assessments.

Executing audit work. This encompasses execution of the planned approach for the audit in a team-based environment, interacting closely with various levels of staff and management throughout the Bank. For product-line audits, work encompasses a review of controls within the Front Office and the procedures performed by the Bank’s various Middle and Back Office departments to control and/or support the business subject to audit. Functional audits entail separate review of a Middle or Back Office department that supports multiple businesses to gain assurance that controls that transcend such businesses operate effectively. Audit also periodically conducts thematic regional or global reviews to address key risk areas, which include special reviews mandated by the Audit Committee and/or Executive Board.

Developing, presenting and finalizing audit reports. This process entails initial drafting of the report, discussion with management to ensure factual accuracy and clearance and coordination with Management to obtain written responses to Audit’s recommendations.

Mentoring new hires to aid in their acclimation to the Bank and the manner in which the Department operates.

Participating in the recruitment of other Financial Auditors.

Supervising less experienced Auditors on multiple auditor assignments.

Performing administrative duties as it relates to key responsibilities and participating in special projects as delegated by Department Management.

Developing and maintaining relationships with Bank Staff and Management to facilitate proactive assessment of the Bank’s risk profile and career development.

Assessing personal development needs (e.g., training) in conjunction with Department Management.

To qualify you must possess:

Undergraduate degree in Accounting, Business Administration or related areas (MBA or equivalent a plus).

4-8 years of work experience; financial services experience preferred, but not required.

Certified Publi…

Title: AVP Audit – Investment Bank

Company: The Peak Organization Inc

Location: New York City, NY



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