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Senior Audit Supervisor - Investment and Retirement Products

Bank of America


Location:
New York, NY
Date:
04/23/2017
Job Code:
bankofamerica-16053748NewYorkNY
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Job Details

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Company Bank of America

Job Title Senior Audit Supervisor - Investment and Retirement Products

Jobid bankofamerica-16053748NewYorkNY

Location: New York, NY, 10176, USA

Description **Job Description:**



Enterprise Description:



Provides expertise, advice and counsel based on advanced business and/or audit experience to a complex business and/or across several business groups. Provides leadership for projects and team activities. Proactively implements audit strategy for the sound application of risk based practices by defining audit scope, audit program, and review and test procedures. Exercises judgment and influences senior business managers and peers. Helps business partners balance their business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Audit's missions, goals and strategies. Interacts with regulatory agencies, external consultants and other internal risk management groups.



Responsibilities:



Provides expertise, advice and counsel based on advanced business and/or audit experience within wealth management and investment management complex businesses.



Provides leadership for projects and audit activities over portfolio and asset management activities.



Proactively implements audit strategy for the sound application of risk based practices



Exercises judgment and influences the business and peers.



Build and maintain key relationships with stakeholders.



Required Skills:



-Minimum of 5 years of experience in a wealth management or retirement business unit, or audit/risk/compliance or similar control function specific to investment and retirement product offerings to institutional and retail clients

-Knowledge of applicable laws and regulatory requirements governing a registered broker/dealer (FINRA, SEC) and the Employee Retirement Income Security Act (ERISA)

-Ability to draw appropriate conclusions on the adequacy of processes and controls

-Ability to effectively communicate results (verbal, written)

-Ability to exercise critical thinking and judgment to effectively influence management to improve the control environment

-Ability to manage multiple projects while delivering quality results within established timelines

-Ability to empower teammates and provide real time feedback to develop strong talent

-Ability to leverage technology and automation subject matter expertise to increase efficiency



Desired Credentials:

-Certified Financial Advisor (CFA); Series 6/63, 7, 9/10, or 24; Certified Retirement Services Professional (CRSP), Certified Professional Accountant (CPA); or other investment/retirement-related professional certification or license.

-Knowledge of Employee Retirement Income Security Act (ERISA) including the expanded definitions of the Department of Labor Fiduciary Rule.



**Posting Date** : 12/21/2016



**Location** : US-NJ-Pennington, US-NY-New York



**Travel** : Yes, 20% of the time



**Full / Part-time** : Full time



**Hours Per Week** : 40



**Shift** : 1st shift



**Assistance for Applicants with Disabilities**



Bank of America is committed to ensuring that our online application process provides an equal employment opportunity to all job seekers, including individuals with disabilities. If you believe you need a reasonable accommodation in order to search for a job opening or to submit an application, please visit the Applicants with Disabilities page at http://careers.bankofamerica.com/us/applicants-with-disabilities .



**Diversity & Inclusion**



At Bank of America, our commitment to diversity and inclusion is helping us to create not only a great place to work, but also an environment where our employees, our customers and our communities around the world can reach their goals and connect with each other. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.



**Frequently Asked Questions**



Need to know how to apply online, view a list of your submitted job applications or reset your password? Visit our FAQ at http://careers.bankofamerica.com/us/faq section for answers to these questions and more.



Success begins with building relationships.

At Bank of America, our customers are at the center of everything we do. Our focus is on helping each one find the right financial solutions. With a wide range of career opportunities available, we invite you to realize your career goals with us while assisting customers with what matters most to them.

Welcome to Careers at Bank of America.


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