Advisory Associate Job Description

Advisory Associate Job Description

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Advisory associate provides IT audit and advisory services for Tennessee market including planning and supervision of Internal control audit engagements (including development of the audit approach, client and internal team coordination, controls rationalization, and risk assessment completion), testing execution and evaluation of findings.

Advisory Associate Duties & Responsibilities

To write an effective advisory associate job description, begin by listing detailed duties, responsibilities and expectations. We have included advisory associate job description templates that you can modify and use.

Sample responsibilities for this position include:

Work with and provide support to the Compliance Volcker team, including Compliance advisors leading division-specific workstreams
Partner with Compliance colleagues worldwide to ensure a consistent approach to Volcker interpretation and compliance
Work with Legal, Product Advisory Compliance and the Business to develop a system of controls, including an ongoing monitoring plan to ensure compliance with the Volcker Rule
Aid in implementing and updating a system of enterprise-wide and desk-specific policies and procedures designed to ensure compliance with the Volcker Rule
Review, analyze, and recommend improvements to construction management processes and internal controls
Assist with construction contract audits, compliance reviews, and project oversight and monitoring functions for large capital projects
Define and implement recommendations including construction management policies and procedures, processes, internal controls, roles and responsibilities, reporting, and supporting information technology
Conduct project reviews to evaluate percentage of completion, probability of recovery for change orders and claims, reasonableness of the estimate to complete construction, schedule delays, defective specifications, and loss of productivity
Work with engagement teams to perform field work, including data collection, analysis, and work paper documentation
Work closely, but independently, under the direction of Managers, Directors and Partners

Advisory Associate Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Advisory Associate

List any licenses or certifications required by the position: CPA, CIA, CFA, CISA, CFE, CISSP, LEAN, MBTI, SHRM, PLANNER

Education for Advisory Associate

Typically a job would require a certain level of education.

Employers hiring for the advisory associate job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Accounting, Finance, Economics, Engineering, Business, MBA, Mathematics, Computer Science, Statistics, Science

Skills for Advisory Associate

Desired skills for advisory associate include:

Trends to identify business risk management issues and other opportunities for improvement
Sarbanes-Oxley Act provisions and methodologies for achieving compliance
Audit reports
Control summaries
Work programs
Audit methodologies and developing key internal audit deliverables
Institute of Internal Auditors code of ethics and compliance requirements
Customary investment banking databases
Accounting operations and financial frameworks
Audit-preparation software and an understanding of the impact of technology

Desired experience for advisory associate includes:

Experience with complex client relationships, assessing needs and taking an innovative approach to developing solutions
Series 7 & 66 preferred, 24 a plus
Acting proactively to identify potential issues and leads initiatives to improve and streamline regulatory, compliance, investigative and surveillance procedures
This role could involve interaction with new financial advisors, existing advisors, and home office employees
Moderate knowledge of Rules and regulations of the Securities Exchange Commission (SEC)
Build/sensitize financial models and support Analysts in doing so

Advisory Associate Examples

1

Advisory Associate Job Description

Job Description Example
Our growing company is looking for an advisory associate. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for advisory associate
  • G10 and Emerging Markets FX risk
  • Pension plan modeling
  • Treasury policy benchmarking
  • Develop key external and internal communications, including comprehensive communications planning, media relations strategy, thought leadership, press releases and internal communications tactics to promote business priorities
  • Provide high-level counsel and establish relationships with key stakeholders
  • Build relationships with trade reporters and publications focused on mergers and acquisitions, accounting changes, private equity, business strategy, and other related themes
  • Collaborate with other communications team leads to produce consistent internal and external messaging, and expand visibility opportunities among trade audiences
  • Effectively integrate social media channels into communications initiatives where applicable
  • Assist with preparing real property valuations for financial and tax reporting
  • Support the Global Capital Advisory team with deal origination, structuring and execution activities
Qualifications for advisory associate
  • Close working relationship with tax/ legal advisors in structuring the deal
  • 4-6 years relevant experience in loan markets/project finance/ Debt Advisory
  • Experience acting as a third party adviser or as a principal lender
  • Create and update of single company, sector and market quantitative models
  • Supervise all publishing initiatives and templates to ensure brand consistency and Marketing guideline adherence
  • Part of Core Team involved in improving the OnTrac risk rating process
2

Advisory Associate Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of advisory associate. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for advisory associate
  • Support the Global Capital Advisory team to develop and maintain relationships with investors and financial institutions including private equity funds, infrastructure funds, institutional investors, banks, ECAs and DFIs
  • Create and maintain a database to capture critical investor information
  • Assist in the preparation of external marketing information
  • Monitor online energy and infrastructure information resources in order to track projects, financing trends and industry developments
  • Attend client and investor meetings as required
  • Assist in responding to inquiries from regulatory authorities internal or external auditors and business lines regarding embargo and sanctions observance
  • Drafting technical advice for consulting engagements
  • Assist in demonstrations of solutions and tools to targets and clients, including post implementation client support through training and consulting services
  • Assist in the drafting of materials for publications, thought leadership and seminars, including participation in the delivery of external presentations
  • Travel, as necessary, to assist sales and business development team in the pursuit of opportunities and engagements
Qualifications for advisory associate
  • Keep up to date with any changes
  • Work closely with PAT to update and create any new pages for team
  • Work with PCG to create and strategize on new web site and best layout practices
  • Manage brand consistency within site
  • Ensure functionality of site and organizational structure based on the needs of PART clients
  • Archiving (or reorganization at end of year)
3

Advisory Associate Job Description

Job Description Example
Our company is growing rapidly and is looking to fill the role of advisory associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for advisory associate
  • Acquire and or develop knowledge in credit markets (loans and bonds) and equity markets for the energy sector
  • Undertake research analysis into industry sectors as required including power and renewables
  • Assist with risk management due diligence process including analysis of current insurance programs, claims and ultimate loss calculations, review of contractual risk transfer, and utilization of risk finance solutions for financial risk mitigation
  • Prepare recommendations to clients, and build implementation plans for execution of program to achieve results
  • The candidate will participate in meetings with target company management and with client personnel, and the will serve as the primary point of contact for client personnel with respect to day-to-day execution matters
  • This position will also involve assistance to IRAS leadership in generation of business leads and opportunities through prospective client presentation development, marketing plan support, contact follow-up, and expanding business contacts
  • Processes daily account maintenance to ensure accurate account billing and reporting
  • Prepare and send client letters for conversions, closed accounts and rep changes
  • May assist with the quarterly performance report mailing
  • May log all incoming advisory account paperwork and distribute to IA Firm Review for approval
Qualifications for advisory associate
  • Knowledge in various phases of construction including planning and work breakdown structures, pre-construction services, sourcing and procurement of contracts, contract administration, scheduling, cost estimating, quality management, project reporting, and project closeout
  • Field construction experience on different project types and public and/or private clients
  • Excellent written and verbal communication, documentation, records retention and work paper organizational skills
  • Should have 3-6 years of prior experience at another Financial Institution, preferably with a Corporate focus and preferably sell-side, although will consider buy side as well
  • Advanced quantitative education is required
  • Solid knowledge in FX and Interest Rate Derivatives
4

Advisory Associate Job Description

Job Description Example
Our company is hiring for an advisory associate. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for advisory associate
  • May open new client accounts within established time frames on Advisor Console
  • May provide basic customer service by answering inbound phone calls from registered representatives and sales assistants
  • Execute model advisory and support initiatives working with the model developers
  • Prepare presentations on models and associated processes working with the model developers
  • Perform additional tests to validate analysis in model documents and perform additional analysis as needed
  • Develop and maintain model policies and procedures
  • Review, edit and/or enhance model documentation
  • Provide support and advice regulatory reporting
  • Prepare written reports on findings and recommendations from engagement work
  • Support accounting services for clients like assist in month-end close, including A/P, A/R, journal entries, account reconciliations and assisting in the preparation of financial statements
Qualifications for advisory associate
  • Knowledge of IT controls and how they affect the control environment
  • Relationship-focused (with clients, peers, management)
  • Minimum ten years of progressive corporate communications experience, preferably within a professional services, consulting organization or large corporate communications environment
  • Experience working with reporters on sensitive subject matter
  • Experience writing for internal audiences, developing effective key messages and talking points
  • Ability to work quickly in accordance with timely marketplace issues and trends
5

Advisory Associate Job Description

Job Description Example
Our innovative and growing company is hiring for an advisory associate. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for advisory associate
  • Advising clients on high-profile mandates in the financial industry on complex issues with regards to strategy, balance sheet, markets, risk, regulation, system-wide policy, transactions
  • Acting as a project manager for our client mandates and across internal teams
  • Working in close partnership with engagement managers, practice area specialist, generalists and business development team
  • Preparing presentations and reports for pitching new business and communicating project results
  • Performing quantitative analysis and problem solving in support of client engagements
  • Support the origination and execution of Advisory activities on the West Coast
  • Serve as a team member within the practice, providing support with day-to-day operational activities for the Deal Advisory & Strategy practice
  • Assist with practice-wide strategic initiatives or projects
  • Regularly prepare monthly practice reporting package for leadership, monthly practice newsletter & maintain practice operations site
  • To provide outstanding professional services to Clients by utilizing the capability of the regional and global Faithful+Gould businesses and the strengths of the SNC-Lavalin Group
Qualifications for advisory associate
  • A minimum of one year of experience in construction management and/or construction advisory services with increasing roles and responsibilities in major power and utilities, oil and gas, infrastructure, manufacturing, healthcare, or public sector projects
  • Superior team orientation
  • Provide guidance to sales and trading business lines and support functions on the applicability and interpretation of U.S. banking laws and markets regulations Partner with other Compliance teams and global functions, including Legal, Middle Office, Risk, Operations and Technology, and Finance to prevent and detect non-compliance issues and promote a culture of compliance
  • Lead initiatives and manage high-impact special projects with a results-driven focus, including the coordination and implementation of new regulatory requirements and compliance program design
  • Identify and analyze the enterprise-wide impact of new and complex regulatory developments, including enforcement actions, and proposed or final rules affecting the Markets businesses (across multiple asset classes including futures, fixed income, rates, credit, and FX products)
  • Prepare and provide training as needed

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