Business Auditor - Associate - Audit / Control / Quality - New York, New York, United States

SGS Société Générale de Surveillance SA; New York (NY); On-site; USD 80,000 - 100,000; Full time

Job summary

A leading financial services firm in New York seeks a MARK Business Auditor, Associate to join their Capital Markets and Investment Management Audit Team. This role involves executing audits, evaluating controls, and ensuring compliance across various business lines. Candidates should have a strong background in financial services, excellent analytical skills, and a Bachelor's degree in a relevant field. The position offers opportunities for professional growth and contribution to departmental transformation projects.

Qualifications

• 5+ years in financial services, audit, or risk management roles.
• Relevant certifications (CIA, FRM, CFA) are a plus.

Responsibilities

• Participate in planning and executing internal audits of the capital markets division.
• Conduct detailed audit testing and analysis to evaluate internal controls.
• Prepare high-quality workpapers supporting findings and conclusions.

Skills

Analytical

Problem-Solving

Communication

Adaptability

Project Management

Education

Bachelor’s degree in Business

Bachelor’s degree in Accounting

Bachelor’s degree in Finance

Bachelor’s degree in Economics

Bachelor’s degree in Engineering

Bachelor’s degree in Mathematics

Tools

PowerBI

KNIME

Alteryx

Python

Job description

Responsibilities

The MARK Business Auditor, Associate will be part of the Capital Markets and Investment Management Audit Team (MARK). The group has four mandates: i) cover the Capital Markets & Investment Management businesses in the Americas; ii) cover Risk management teams focused on Market, Counterparty, Model, and Liquidity Risks; iii) ensure compliance with rules and regulations; iv) oversee the broad Finance organization.

The Associate will participate in audits across various business lines and support functions within the region. Primary responsibilities include:

1. Participate in planning and executing internal audits of the capital markets division, including trading, sales, and risk management functions.
2. Understand capital market activities and control frameworks, adopting a risk-based approach to scope and testing.
3. Conduct detailed audit testing and analysis to evaluate internal controls, regulatory compliance, and policy adherence.
4. Identify risks and control deficiencies, root causes, and develop practical recommendations.
5. Prepare high-quality workpapers supporting findings and conclusions.
6. Create clear audit reports with findings and recommendations.
7. Communicate effectively with auditees and team members, developing good relationships and escalating issues timely.
8. Monitor and track the implementation of audit recommendations and follow up on outstanding issues.
9. Participate or lead continuous monitoring meetings and annual risk assessments.
10. Contribute to department-wide transformation projects, demonstrating adaptability and initiative.

Profile required

The Inspection and Group Audit Division (IGAD) is Societe Generale's independent internal audit function, with over 1,200 professionals globally. SG Internal Audit Americas (SGIAA) comprises about 70 professionals based in New York, New Jersey, São Paulo, and Bangalore, responsible for assessing SG’s businesses in the Americas.

SGIAA Department seeks driven individuals who thrive in a fast-paced environment, are innovative, and willing to contribute to the team’s transformation towards excellence.

Technical Skills

• Understanding of capital markets, including Equities, Equity Derivatives, Fixed Income, and Currencies, and trading operations.
• Knowledge of control and risk management frameworks, including market, credit, and operational risks.
• Familiarity with relevant rules and regulations.
• Knowledge of IIA standards and practices.
• Experience with data analytical tools (PowerBI, KNIME, Alteryx); Python coding or AI knowledge is a plus.

Competencies

• Strong analytical, problem-solving, and attention to detail skills.
• Ability to work independently and collaboratively.
• Excellent communication skills, with the ability to present complex information clearly.
• Quick learner, adaptable to new areas and technologies.
• Effective project management and prioritization skills.
• Data analytics mindset with proven experience.
• Motivated, committed, and supportive team player.
• Open to innovation and process improvements.

Education/Experience

Required:

• Bachelor’s degree in Business, Accounting, Finance, Economics, Engineering, or Mathematics.
• 5+ years in financial services, audit, or risk management roles.

Plus:

• Relevant certifications (CIA, FRM, CFA).
• Big 4 audit or consulting experience.
• Languages: French preferred.