Senior Audit Supervisor - Investment and Retirement Products
Bank of America
Company Bank of America
Job Title Senior Audit Supervisor - Investment and Retirement Products
Location: New York, NY, 10176, USA
Description **Job 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.
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.
-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
-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
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