VP - Internal Audit - Finance

Location: New York
Base Salary: $165K-$185K
Industry: Investment Bank/Broker Dealer

Vice President – Finance Audit, Internal Audit


The Vice President, Finance Audit position is a lead auditor role within Internal Audit. It reports to an Executive Director responsible for the Finance audit team. The position leads or participates in Finance and other audits, as well as supporting other Internal Audit activities including risk assessment, issue remediation validation and continuous monitoring and auditing. The role involves ongoing coordination with members of other Internal Audit teams covering Technology, Operations, Global Markets and Investment Banking, Legal and Compliance, and Risk Management, as well as Finance audit counterparts in London, Singapore, Powai and Tokyo. A key aspect of the Finance audit role is developing data analytics to audit the Finance functions more effectively, working closely with the department’s Data Analytics Subject Matter Expert. 


Key responsibilities


  • Independent assessments of risks and the strength and viability of control structures and procedures within Finance and other corporate functions including Operations  
  • Leading or participating in Finance and other internal audit reviews focusing on end to end processes and leveraging data analytics in reviews
  • Developing and implementing data analytics and automated testing to identify internal control weaknesses during internal audit reviews and continuous auditing
  • Developing and executing robust Audit Programs
  • Identifying and formulating solutions to issues around financial reporting, management reporting, operations and data integrity
  • Tracking implementation of recommended processes and procedures designed to strengthen internal controls
  • Building relationships with Finance and other personnel to support Internal Audit’s objectives to provide advice on business and control improvements and to monitor risks
  • Conducting periodic monitoring of risk areas to identify emerging risks and trends
  • Coaching, training and sharing information with other Internal Audit team members to equip them with the information, tools and opportunities they need to grow

Knowledge and experience

Critical credentials:

  • Experience in leading audits of Finance/Accounting functions for Wholesale Banking businesses
  • Experience in auditing Finance systems and underlying data structures and financial rule engines
  • Solid foundation and understanding of data risks and data analytics objectives
  • Experience in designing data analytic queries to meet audit objectives
  • CPA or other accounting certification required


Related knowledge and experience:

  • A bachelor’s degree in Business, Finance, Accounting or Computing/Data Science, supported by significant work experience as an internal auditor in a financial services firm or an auditor/consultant in a public accounting firm. 
  • Knowledge of Wholesale Banking businesses and activities, trading products and Finance processes for Wholesale Banking businesses
  • Experience in implementing data analytics through Python or other data analytics software preferred
  • Strong knowledge of general auditing principles, and best practices and standards in Finance and other corporate functions, preferred
  • Record of excellence in project management, building relationships, staff development and communication in both oral and written forms  

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