Internal Controls Senior Associate

• Participate in the development and implementation of risk assessment and documentation of customer-user-entity-controls for key vendor’s SOC Reports
• Develop and maintain internal controls function and internal control concepts including the SOX 404 and COSO internal control frameworks
• Develop test plans and coordinate the performance of an internal controls testing program
• Assist in the preparation and delivery of internal controls results testing to the audit committee
• Continually monitor and update the assessment of the control environment keeping abreast of significant control issues and developments
• Identify and design anti-fraud criteria and controls
• Review finance department business processes and suggest improvements

• Bachelor’s degree required
• 6-12 years of experience with a mix of public/private IA experience
• Comprehensive knowledge of auditing practices, procedures, and principles
• Strong understanding of financial and operational controls
• Registered Investment Advisor/Broker-dealer and/or asset management experience preferred

Registered Investment Advisor/Broker-dealer and/or asset management experience preferred