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Company Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2.7 trillion and operations worldwide. The firm is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management. A component of the Dow Jones Industrial Average, Company Chase & Co. serves millions of consumers in the United States and many of the world’s most prominent corporate, institutional and government clients under its Company and Chase brands.
The Company Chase & Co Audit Department is accountable to the Audit and Examining Committee of the Board of Directors, the Office of the Chairman, senior management and our global and local regulators. The global Audit Department has in excess of 1,200 Audit Officers.
Corporate& Investment Bank (CIB) Audit is responsible for assessing the adequacy and effectiveness of the control environment across the CIB businesses.
This is achieved through a program of audit coverage performed and managed by a team of business and technology audit specialists and coordinated on a global basis with colleagues in APAC, EMEA and LATAM.
In addition, CIB Audit is involved in assessing controls over significant projects, including business reorganizations and acquisitions, technology developments/conversions, off-shoring, and product development.
Capabilities within Securities Services include global custody and direct custody, fund services, securities lending, depositary receipts, securities and derivatives clearing, and collateral management. Company works with clients across a broad range of industries and sectors, investment strategies, fund structures and asset types.
The Securities Services Audit Team is responsible for:
Financial, operational, credit and regulatory risk audit work performed for Securities Services.
Plan, execute and document audit reports for audits conducted within the Securities Services business, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure.
Ensure audits are completed timely and within budget.
Work closely with audit colleagues located across the globe in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders.
Develop recommendations to strengthen internal controls and improve operational efficiency.
Partner with business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence.
Minimum Bachelor's degree in Accounting or Finance (or relevant financial services experience) required
CPA and/or Advanced Degree in Finance or Accounting is preferred
Minimum 8 years' experience in public accounting or financial services firm, preferably strong knowledge of the Securities Services business
Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
Proven ability to be able to multi task as well as assess and change priorities
Works well individually, and in teams, shares information, supports colleagues and encourages participation
Strong skills in time management, problem solving, written and oral communication
Enthusiastic, self motivated, effective under pressure and willing to take personal risk and accountability
Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner
Fiduciary/Regulation 9 experience as well as Certified Fiduciary & Investment Risk Specialist designation are preferred.
Flexibility to travel as required
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