EQ is a leading international provider of shareholder, pension, remediation and credit technology. With over 5,000 employees, it supports 37 million people in 120 countries. EQ’s purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment. In December 2021 EQ formally moved into private ownership by affiliates of Siris Group Capital, LLC.
EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at: www.equiniti.com/us
Role Summary
EQ is looking for an Operational Auditor with Financial Industry Experience to help execute internal audits as part of the U.S. internal audit function and audit plan. The candidate must be collaborative with a team, participate in engaging with auditees, and contribute to risk and control analysis and audit project management including planning, leading meetings, process walkthroughs, testing execution, reporting and issues management.
Preferred designations – CIA, CPA, CFE
*This is NOT an IT Audit position*
Core Duties/Responsibilities
The successful candidate will be responsible for the following:
Support all phases of an audit from planning, scoping, test execution to reporting, and produce quality deliverables to both department and professional standards
Finalize audit findings supported by facts and professional judgment to provide an overall opinion on the effectiveness of key controls
Communicate audit findings to the IA team and management and identify opportunities for improvement in the design and effectiveness of key controls and provide independent feedback and recommendations on strengthening controls and enhancements based on stakeholder priorities
Build and maintain relationships with management and auditees, establish a culture of engagement, transparency and adding value
Drive a culture of innovation through automation of controls testing to enhance audit coverage
Participate in multiple departmental initiatives and working groups to enhance or provide efficiencies in audit coverage on existing areas as well as emerging topics
Participate in a program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
Effectively execute testing procedures with a solid understanding of the test objective and prepare quality workpapers to support the audit work performed.
Manage up by providing honest and constructive feedback to proactively manage performance and expectations
Stay up to date with evolving industry and regulatory changes impacting the Company
Skills, Capabilities and Attributes
The successful candidate will demonstrate the following experience, skills and behaviors:
BA/BS degree in Accounting, Finance, Business or Computer Science or equivalent focus preferred
Industry experience in internal audit function or Big 4 background equivalent preferred
Audit relevant certification or is working towards one preferred (CPA, CIA, CISA or CFE)
Understanding of Internal Audit Standards, COSO, including auditing processes and methodologies and working knowledge of and working knowledge of FDIC, FFIEC and other regulatory and industry frameworks
3+ years of experience in an auditing capacity
Knowledge and experience in the Financial Services industry preferred; understanding of transfer agent services preferred, but not required.
Compensation
$85,000-90,000 per year
About You
Proficient experience with internal audit methodology and applying concepts in audit delivery and execution
Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls in design and effectiveness
Prepare and participate in meetings with an understanding of the auditing business processes and functional areas including key processes like revenue cycles, corporate reconciliations, risk management. Ideally transfer agent and equity plan business knowledge is preferred but not required
Demonstrate professional skepticism, problem solving and analytical skills particularly in regard to assessing the impact of a control weakness and root cause
Excellent verbal and written communication skills, with the ability to present audit issues to senior management
The ability to work effectively within a team, both locally and globally, share information, support colleagues and encourage participation
Demonstrate a growth mindset, self-motivated, effective under pressure, and willing to take personal responsibility/accountability, and be agile under fluid conditions
Ability to build strong relationships with key stakeholders, curious, desire to learn quickly, be flexible and results-driven
Proven ability to multitask and deliver effectively under pressure, as well as the ability to assess and adapt to changing priorities.
We are committed to equality of opportunity for all staff and applications from individuals are encouraged regardless of age, disability, sex, gender reassignment, sexual orientation, pregnancy and maternity, race, religion or belief and marriage and civil partnerships.
Please note any offer of employment is subject to satisfactory pre-employment screening checks. These consist of 5 year activity & GAP verification, DBS or Access NI, Credit, Sanctions & CIFAS checks
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