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Genesis10 is currently seeking a Business/ Internal Audit Consultant -Swap Dealer with our client in their New York, NY location. This is a 3 month + contract position. The role can be based in NY, NY, Richardson, TX or SLT, UT.
Summary:
- Internal Audit maintains effective controls by assessing the reliability of financial reports, monitoring the firm's compliance with laws and regulations, and advising management on developing smart control solutions. Our group has unique insight on the financial industry and its products and operations. We're looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm's operations and control processes.
- As the third line of defense, Internal Audit's (IA) mission is to independently assess the firm's overall control environment, including the firm's governance processes and controls, and risk management and capital and anti-financial crime frameworks. In doing so, IA:
- Communicates and reports on the effectiveness of the firm's governance, risk management and controls that mitigate current and evolving risk
- Raise awareness of control risk
- Assesses the firm's control culture and conduct risks; and
- Monitors management's implementation of control measures
- IA supports the Board of Directors' Audit Committee and senior firm leadership in fulfilling their oversight roles by independently assessing the firm's internal control structure, raising awareness of control risk, providing advice to management in developing control solutions, and monitoring the implementation of management's control measures.
- Internal Auditors demonstrate a strong risk and control mindset, are detail oriented, possess curiosity and sound judgment, and are able to adapt to a dynamic risk and regulatory landscape. We look for individuals who can collaborate across global teams, foster lasting stakeholder relationships and can drive creative solutions to enhance audit techniques.
Responsibilities:
- Develop and maintain an in-depth understanding of the firm's Swap Dealer compliance program.
- Manage and execute audits focused on the firm's compliance with the Swap Dealer requirements including planning and scoping, fieldwork and audit test plans, and reporting.
- Drive walkthroughs with stakeholders to perform control design assessments.
- Lead audit testing to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards.
- Coordinate with business and engineering audit teams to identify risks, assess mitigating controls, and make recommendations on improving the control environment.
- Communicates and reports on the audit conclusions and findings and presents to Internal Audit senior management and business stakeholders.
- Follow-up on open audit issues and validate their resolution.
- Participate in department-wide initiatives aimed at continually improving Internal Audit's processes and supporting infrastructure.
- Develop and maintain key stakeholder relationships and regularly engage with the business during the year to assess changes in the risk and control environment.
Requirements:
- 8-10 years of relevant work experience in Internal Audit, Compliance, or Risk functions
- Prior experience in and understanding of laws, rules, and regulations pertaining to swap dealer requirements, including Title VII of the Dodd-Frank Act, associated CFTC and SEC regulations, and NFA rules
- Prior experience in and understanding of swaps and other derivative products
- Highly motivated, delivery focused, analytical and detailed self-starter with proven record in a team-based environment
- Excellent communications skills (oral and written) to clearly articulate issues and ideas with different levels across stakeholders
- Strong leadership, interpersonal, and relationship management skills
- Bachelor's degree (or higher) in a relevant discipline
- Only candidates available and ready to work directly as Genesis10 employees will be considered for this position.
Preferred Qualifications:
- Relevant certification or industry accreditation (e.g., CPA, CIA) is a plus
- Experience of managing audit engagements and teams across locations
- Proficiency in Microsoft Office tools such as Excel, Word, PowerPoint
- Experience with Data Analytics tools and techniques
Pay rate range: $105.00 - $115.00 hourly.
If you have the described qualifications and are interested in this exciting opportunity, please apply!
Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals.
For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client. Benefits of Working with Genesis10:
- Access to hundreds of clients, most who have been working with Genesis10 for 5-20+ years.
- The opportunity to have a career-home in Genesis10; many of our consultants have been working exclusively with Genesis10 for years.
- Access to an experienced, caring recruiting team (more than 7 years of experience, on average.)
- Behavioral Health Platform
- Medical, Dental, Vision
- Health Savings Account
- Voluntary Hospital Indemnity (Critical Illness & Accident)
- Voluntary Term Life Insurance
- 401K
- Sick Pay (for applicable states/municipalities)
- Commuter Benefits (Dallas, NYC, SF)
For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and to view all our available career opportunities, please visit us at our website.
Genesis10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
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Genesis10
life insurance, 401(k)
Jan 10, 2025