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SOX Internal Audit, Senior Associate

  • Location:

    Jersey City

  • Sector:

    Accountancy & Finance

  • Job type:


  • Salary:

    Up to US$125000 per annum

  • Contact:

    Isabella Kopilak

  • Contact email:

  • Job ref:


  • Published:

    25 dagen geleden

  • Expiry date:


  • Startdate:


Our client's Senior Associate, Internal Audit provides independent and objective assurance, advice, and insight guided by a philosophy of adding value to improve the operations of our client. The Senior Associate assists our client in accomplishing its objectives by bringing a systematic and disciplined approach to evaluate and improve the effectiveness of our client's control environment including risk management, operational, financial, internal control, and governance processes.

As Senior Associate, Internal Audit you will be part of our client's growing audit team in the Jersey City, NJ office. You will report directly to the Assistant Vice President, Internal Audit and collaborate with our client stakeholders, counterparties, external auditors and third-party service providers to:

  • Provide assurance over the Company's SOX and portfolio of GAAP, statutory, and other regulatory filing controls.
  • Support the development of a portfolio of ICFR and Reporting audits to ensure that audit projects and stakeholders focus on key risks and controls.
  • Partner with the business in the development and implementation of a model risk management assurance program that will support emerging regulatory requirements.
  • Partner with the business in supporting growth into new jurisdictions and the establishment of additional legal entities.
  • Support the development of the internal audit function.
  • Partner with the business to identify and analyze the inherent risks and the controls that management has implemented to mitigate their risks.
  • Validate that the Company operates in a controlled environment with appropriate risk-management processes.
  • Evaluate the adequacy and effectiveness of the Company's internal controls using a risk-based methodology developed from professional auditing standards.
  • Evaluate the adequacy and effectiveness of the Company's reporting (Management, Regulatory, Cedant, etc.) using a risk-based methodology developed from professional auditing standards.
  • Contribute to the overall effectiveness and value of internal audit by recommending and developing innovative approaches and solutions (e.g. the use of data analytics, automation, and agile audit methodologies).

Our client is seeking a highly engaged audit professional with insurance or financial services industry experience and strong technical and interpersonal competencies. We are looking for candidates that are proactive, continuous learners and open to improved ways of doing things, both with business stakeholders in the development of solutions to problems and internal audit processes. The ideal candidate will possess an entrepreneurial mindset and a blend of IQ (technical skills, consistent learning, statistical & financial acumen) and emotional intelligence or EQ (adaptive communication, empathy, listening skills, challenging with humility). Internal audit also looks for diverse backgrounds of experience, culture and thought. Successful candidates will be part of a diverse organization working within a team-oriented environment. You will gain a unique view of our client, as part of planning and executing on all aspects of the audit process and risk assessment activities and will build close working relationships with business and functional leaders.

What You Will Do:

  • Support the internal audit function in executing their responsibility to test the Company's SOX and MAR controls.
  • Assist in the development and execution of a risk-based ICFR and Reporting audit plan. Assessing the design and operational effectiveness of controls for new and existing business processes, as needed.
  • Execution of all phases of the audit, including scope determination, audit planning, fieldwork and testing, discussion and documentation of findings, and report writing.
  • Ensure the execution of the audit plan within departmental methodologies and standards.
  • On-going communication with business line management to follow-up on previously identified audit issues, as well as execution of testing to verify closure.
  • Clearly and concisely communicate audit results or other key messages to a variety of constituents, including senior business and audit management, and advise on emerging industry or regulatory topics/issues that may impact audit coverage.
  • Continuously update the business risk and control environment assessments, including key risks and controls, through periodic client meetings, ad-hoc walkthroughs, monitoring of key business metrics and data analytics.
  • Interact with regulators for regulatory examinations, status updates and other queries, as needed.

Some travel may be required.

What You Will Have:

  • 4 years of relevant internal or external audit experience.
  • Bachelor's or Master's Degree in Accounting or another relevant subject. A certified professional designation (e.g., CPA, CIA, CISA, CRISC, CISSP) is expected.
  • Experience in testing SOX controls and working knowledge of the COSO 2013 framework.
  • Excellent verbal and written communication skills, including demonstrated ability to communicate with senior management.
  • Solid understanding of the internal audit process including risk assessments, planning, scheduling, reporting, continuous auditing.
  • Ability to multi-task between several projects using strong project management skills.
  • Think independently and critically while pinpointing key risk areas, and articulate thoughts effectively to diverse audiences.
  • Thoughtful and decisive behavior in dealing with challenging situations.
  • Strategic thinker who possesses and promotes a culture of intellectual curiosity.
  • Experience with auditing leveraging the use of data analysis tools is a plus (e.g. MS Excel tools, Access, ACL/ Galvanize, IDEA, Qlikview, Tableau etc.).
  • Experience working in the financial services/insurance industries a plus.

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