Governance and Audit Response Associate - BAMM

Role Description:
Seeking an experienced Regulatory/Audit Response Associate with a minimum of 5 years' experience in the banking & finance industry to work within Capital Markets to help manage technology-specific regulatory and audit requests and efforts to address control gaps.

This role will work closely with IT Development and Infrastructure teams to provide responses to requests from the Regulatory Liaison team, Internal Audit Department and external auditors. The role requires the individual to manage expectations, prioritize responses, review documentation to ensure alignment with requests, and coordinate the delivery of a quality/timely response.

Role Objectives:

• Effectively communicate with Technology stakeholders and audit senior management to clearly articulate audit request responses and corrective measures.
• Facilitate control readiness and processes to ensure that key risks potentially impacting controls and audits are addressed
• Engage with Internal Audit Department, IT Risk and Control Team to support responses to firm clients concerning audit, regulatory and compliance contents and result
• Support internal regulatory and financial reporting control testing, identification of observations, relevant compensating controls, remediation, validation and closure of observations within agreed target dates
• Work with internal and external stakeholders to understand and document various current-state control processes and ensure quality standards are achieved in development/maintenance of program documentation
• Examine results of internal / external audits for potential cross-impacts on other programs
• Track and communicate overall progress of various program, ensuring complete and timely reporting on program status to senior management stakeholders

Qualifications and Skills:

• 5+ years of experience preferably in the Financial Industry.
• Good knowledge of IT governance and controls is a must.
• Experience with audits is a must, preferably as an internal or external auditor.
• Basic technical understanding of application design and SDLC.
• Good knowledge of project management, vendor management, and ability to identify critical paths and issues.
• Strong skills working with MS Excel, MS Project, MS Word, MS Power Point, MS Teams, & MS SharePoint. JIRA and PowerBI experience is a plus.
• Strong communication/presentation skills (written and oral) in cross-cultural business environment.
• Strong work ethic with focus on meeting deadlines and objectives.
• Must be highly energetic, detail-orientated, and extremely proactive, and be able to perform under pressure in a challenging environment.
• Bachelor's degree.