Job #: 3020
Title: Internal Audit
The Internal Audit Division Americas (IADA) Department SOX Testing Group in New York is responsible for Sarbanes Oxley (SOX) testing associated with management’s assessment of the effectiveness of internal controls over financial reporting. The group is specifically responsible for the performing the following operating effectiveness testing:
• Process Level Controls (PLC) primarily for NY Branch
• IT Application Process Controls (ITAPC) for NY Branch
Shows the ability to effectively analyze problems; to interpret, understand and follow the instructions without excessive supervision; to recognize, develop and present findings related to work performed; and to prepare all required work papers according to standard.
Can communicate sufficiently, both orally and in writing, to allow the timely and effective execution of assignments and the documentation/communication of results. Can effectively participate as needed in meetings and discussions with Business Process Owners.
Demonstrates an understanding of the financial services industry. May possess experience relevant to internal or external auditing, bank supervisory examination, or which otherwise provides the knowledge and skills enabling effective performance as an internal auditor in financial services.
Execute Operating Effectiveness Testing for the Internal Controls over Financial Reporting in NY assigned to SOX Testing Group or as otherwise directed based upon standards.
Find and analyze deficiencies in operating effectiveness, inadequate documentation/evidence, other irregularities and confirm remediation of the deficiencies.
Cooperate with supervisory authorities and external auditors.
Represent IADA SOX Testing Group as directed on Bank Committees, sub-Committees, Special Project Teams, Working Groups or Meeting Groups.