investment banking jobs

SVP - Regulatory Policy - Investment Bank

Key Responsibilities:

• Drive transition of reports to the AgileREPORTER tool, utilizing the current production processes

• Strategically reconcile report production and build methodology to efficiently resolve reporting anomalies throughout the regulatory reports generated on an automated basis

• Drive preparations for connecting the future centralized data warehouse (multi-year project) to the AgileREPORTER tool.

• Help identify areas for consolidations of manual inputs.

• Help with miscellaneous projects assigned by manager that require vast subject matter expertise.

• Partner closely with the Regulatory Reporting, Regulatory Data Requirements and Remediation Change Management teams within the Enterprise Financial Reporting group

  • The successful candidate will be an experienced leader, highly motivated team player and a self-starter who is accustomed to working in complex organizations, partnering with a diverse group of stakeholders, and achieving results.  Additionally, the candidate should possess professional presence and be accustomed to presenting material to senior executives and regulatory agencies.  The candidate should be flexible, be able to withstand challenges and adapt accordingly.

 

Skills:

• Deep understanding of financial products (e.g., loans, securities, derivatives, etc.)

• In-depth knowledge of line-item specific regulatory reporting guidance

• Ability to document conclusions with well-founded supporting basis for policy decisions

• Understanding of financial institution systems and general architecture

• Analytical thinking with focus on anticipation of potential issues

• Detail oriented with planning foresight across multiple functions

• Strong communication skills

Qualifications:

• 7+ years of experience in one or a combination of the following: finance, accounting, analytics or reporting

• 2+ years of management experience

• A BS/BA degree or higher in one or a combination of the following: Finance, Accounting, Analytics, or Reporting

• Ability to successfully operate in a complex and matrixed environment

• Experience managing teams of more than five team members

• Ability to lead projects/initiatives with high risk and complexity

• Ability to organize and manage multiple priorities

• Highly refined and professional verbal and written communications

• Knowledge and understanding of regulatory reporting: Federal Reserve, OCC, and SEC

• Knowledge and understanding of corporate governance, financial reporting systems, legal entities, and role of regulatory authorities

• Knowledge and understanding of capital markets: business and processes

• Strong analytical skills with high attention to detail and accuracy

• Strong research and documentation skills

• Management consulting experience at a top-tier consulting firm

• Experience with Oracle Financial Services Analytical Applications (OFSAA)

• Knowledge and understanding of Lombard Risk AgileREPORTER software

• Experience with general ledgers and accounting policies

• Experience presenting with multimedia tools such as Live Meeting or PowerPoint

• Advanced Microsoft Office skills

Other Desired Qualifications:

 • Product knowledge in some or all of the following areas (loans, debt, derivatives, securities, repurchase agreements, securities lending, commodities, cash equities trading, credit trading, securities, etc.)

• Broad financial product knowledge throughout the banking and capital markets industry inclusive of investment banking, asset-backed financing, equity investments, etc. 

• Ability to convey key messages to senior leaders through PowerPoint presentations

• Experience with bank capital calculations, processes, and reporting

• Experience with Agile methodology of project delivery

• CPA certification

• Experience with large financial institutions

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Audit Director - Finance - Investment Banking

The role is responsible for a team of 10 finance audit specialists responsible for auditing corporate financial reporting, including reporting for the Institutional Clients Group, Global Consumer Bank and SOX. 

The team serves as subject matter experts for accounting policy, providing direct assistance and advice to IA’s Finance and Product audit teams on entity risk assessments, audit scoping, execution, issue leveling, and audit reporting related to US financial reporting.

Key Responsibilities:

Contributes to strategic direction of Internal Audit (IA) function in the establishment of risk based auditing and branch examinations, which include reporting methodologies, organizational design and effective positioning of the function to ensure provision of independent assurance.

  • Uses excellent communication, leadership and strong management skills to influence a wide range of internal audiences including respective product, function, or regional executive management partners and external audiences including regulators and external auditors. Frequently engages in both internal and external negotiations which will have a major impact on the function, and possibly on the organization as a whole.

  • Directs audit activities supporting a sub set of a product line, function, or legal entity at the global or regional level, in accordance with IA standards, policies, and local regulations. Responsible for providing valued and timely independent assurance on the design and operating effectiveness of a sub set of a product, function, or legal entity at a global or regional level.

  • Responsible for the delivery of high quality, value-added multiple concurrent audits on time and to specification. 

  • Ensures the delivery of audit reports and (where appropriate) branch examinations, that are complete, insightful, timely, error free and concise.

  • Ensures timely delivery of high-quality comprehensive regulatory and internal audit issue validation, and where determined appropriate issue validation on other remediation actions, including issues arising from the external auditors, consultants and other parties.

  • Contributes towards the delivery of high impact reports of IA's contributions to executive management, regulators, and boards' sub-committees, developing trend analyses and thematic reporting.

  • Manages multiple teams of professionals.  Recruits staff, develops talent, builds effective teams, and manages a budget. Identifies internal talent and fills key positions, attracts talent with required expertise to meet the risk profile of the business, builds deep bench strength and develops appropriate succession plans.

  • Possesses a broad and comprehensive understanding of multiple disciplines (Audit, Risk, Compliance, and Training) and of different Audit standards, policies and local regulations; applies a broad and comprehensive understanding of high risk areas including Consumer or Investment Banking, corporate functions, technology management; project/program management; or supplier management.

  • Delivers learning and development programs and is a recognized leader in training and developing others. 

  • Develops approaches to promote knowledge sharing and promulgate management best practices across Internal Audit

  • Delivers cost effective and efficient management of audit teams and audit engagements. 

  • Ensures IA meets/exceeds the requirements and expectations of regulators.

  • Works closely within IA and with line management and control functions to ensure efficient and effective provision of independent audit assurance.

  • Collaborates across businesses and functions to improve the identification, quantification, measurement, management, reporting and controls in governance, risk management and internal control environments.

  • Actively supports and drives the Internal Audit Transformation Program and IA’s and management’s efforts for a “Strong” internal audit function

  • Fully supports and endorses the Quality Assurance function of Internal Audit and promptly accepts and remediates deficiencies found by QA. 

Qualifications:

 BA/BS or equivalent. Related certifications (CPA, ACA, CFA, CIA, CISA or similar) are a plus.

  • Advanced level experience in a related role with extensive experience in business, functional and people management, with proven abilities in taking responsibility for executing concurrently on a portfolio of high quality deliverables according to strict timetables.

  • Specific subject matter expertise in audit. US financial reporting, consumer and investment banking industry issues, and strong knowledge of control frameworks, including manual and automated controls.

  • Demonstrated experience in managing teams and managing integrated internal audit and assurance delivery within a matrix reporting environment.

  •  A self-aware, self-confident individual who has well developed listening skills, and a strong ability to engage a group of accomplished business unit heads by providing proactive advice on a variety of audit matters while carefully balancing the independent requirements of the IA function.

    Click here to apply