Description
- Responsible for Data Testing, Business Testing, must be able to understand both technical and business controls.
- IT and Internal Audit in a Trading Environment (Electronic Trading, FX Trading)
- Experience with Business Processes
- Must have strong banking experience including Corporate Treasury or Global Banking Experience (Equity Capital Markets/Debt Capital Markets)
- Asset/investment management experience in audit, the line of business and/or other related control/risk/compliance function experience
- Broad knowledge of asset/investment management services and supporting operations within a wealth management business including portfolio management, portfolio construction, trading, and wealth advisory services
- Knowledge of applicable laws and regulatory requirements including banking (OCC 12, CFR 9) and broker/dealer regulations (FINRA, SEC)
- Excellent communication skills; Verbal/Written Communication (Executive Summary)Proficient work paper review skills
- Excellent risk assessment skills
- Basic Analytical/Automation Skills; Strong understanding of principles
- Critical Thinking/Problem Solving
- Knowledge of investment advisory services and products to support ERISA/DOL plan sponsors and associated regulatory requirements.
- SQL is plus
Desired Skills:
- CFA, Certificate in Investment Performance Measurement, Certified Fiduciary and Investment Risk Management, Certified Trust and Financial Advisor, CIA, or other investment related certification or licensing, MBA or CPA