Senior Associate Internal Controls

## Responsibilities: Develop and maintain internal controls function and internal control concepts including the SOX 404 and COSO internal control frameworks with a focus on IT General Controls. Work closely with internal clients including Compliance, Legal, Operations, Finance and Technology teams at all levels in developing documentation of key processes and controls and recommendations regarding business process optimization, internal control, and compliance. Participate in the development and implementation of risk assessment and documentation of customer-user-entity-controls for key vendor’s SOC Reports. Develop test plans and coordinate the performance of an internal controls testing program utilizing best in class service providers. 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, trends and developments. Identify and assess the implementation of new controls, as necessary. Prepare and update a comprehensive risk-based testing plan for evaluating the effectiveness of controls in place to manage significant risk exposures, ensure the integrity and reliability of information and financial reporting, safeguard company assets, and comply with laws and regulations. Identify and design anti-fraud criteria and controls. Review finance department business processes and suggest ways to improve such processes. ## Prior Experience/Requirements: Minimum of three years of experience with a public accounting firm. Minimum of three years of corporate industry experience related to Internal Audit processes and procedures. Comprehensive knowledge of auditing practices, procedures and principles, sufficient to interpret and analyze complex concepts and apply them in innovative ways. Skills and knowledge should include an extensive understanding of financial, operational and market risk. Broker-Dealer/Registered Investment Advisor and/or Asset Management experience highly preferred. Strong understanding of financial and operational controls. Apply tot his job Apply tot his job