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About the Role

The Risk Advisory Services – Financial Services (“RAS-FS”) Senior Associate is responsible for providing risk consulting and issues resolution to financial services clients in areas including internal audit, business process improvement/transformation, regulatory compliance, risk management, information technology, and/or Sarbanes-Oxley (“SOX”). This role participates in all stages of an internal audit and/or consulting engagement, assisting with planning, fieldwork, engagement wrap-up, and report composition, while providing recommendations regarding client risk management. This position may work a sporadic and fluctuating schedule.

Responsibilities

Acts as the primary day-to-day contact for clients regarding basic questions and information.
Develops and monitors budgets (budget-to-actual) for all assigned engagements.
Conducts informational interviews and facilitates meetings with clients during the engagement process.
Obtains information, documents, and data from clients to support analysis and research of client issues.
Documents and analyzes client processes, risks, and controls, with guidance from senior RAS-FS professionals.
Develops initial deliverables and/or solutions to client issues.
Reassesses risk and communicates with senior RAS-FS professionals and/or clients as necessary.
Assists with management of engagements to ensure engagement metrics are achieved.
Utilizes research tools, databases, and trade publications to understand the client’s industry.
Develops relationships with client personnel and management members.
Prepares formal and informal presentations for client meetings.
Partners with RAS-FS leadership to complete research and draft proposals and reports.
Implements project plans.
Maintains the confidentiality of all documentation and work papers associated with client engagements.
Conducts risk assessment of assigned department or functional areas within established timelines, while overseeing staff.
Develops risk-based audit programs.
Determines the scope of a review in conjunction with the engagement manager.
Documents understanding of internal audit areas and identifies associated relevant risks and key controls.
Assesses internal control design and operational effectiveness.
Conducts audit testing of specified areas and identifies reportable issues and dimensions of risk.
Determines compliance with appropriate legislation and/or audit policies and procedures.
Communicates findings to senior management and drafts comprehensive reports of audited areas.
Supervises the day-to-day workload of RAS-FS Associates on assigned engagements and reviews work product.
Ensures RAS-FS Associates are trained on relevant audit software and engagement processes.
Delivers periodic performance feedback and completes performance evaluations for RAS-FS Associates.
Acts as a mentor to RAS-FS Associates.

Requirements

Bachelor’s degree in Accounting or Finance required.
Four (4) or more years of banking, asset management, brokerage, and/or other financial services experience within a public accounting firm or financial institution performing internal audit, consulting, compliance, and/or risk services required.
Experience with internal controls, including Sarbanes-Oxley/FDICIA, flowcharts, documentation, and testing of controls required.
Experience with IT audit and SOX, with a focus on entity-wide risk assessment required.
Proficient in the use of Microsoft Office Suite, specifically Excel, Word, and PowerPoint required.
Experience with various IT audit applications and research tools required.
Solid understanding and capability to plan and coordinate audit stages within a financial institution.
Knowledge of internal accounting controls, professional standards, and regulations within a financial institution.
Strong verbal and written communication skills.
Ability to adapt style and messaging to effectively communicate with professionals at all levels.
Ability to successfully multi-task while working independently and within a group environment.
Superior analytical and diagnostic skills.
Able to work in a demanding, deadline-driven environment with a focus on details, accuracy, and responsiveness.
Ability to adapt to rapidly changing environments successfully.
Solid organizational skills, especially the ability to meet project deadlines with a focus on details.
Effective management of a team of professionals and ability to delegate work assignments as needed.
Build and maintain strong relationships with client personnel.
Ability to travel, as needed.

Skills

Risk consulting
Issues resolution
Internal audit
Business process improvement
Business process transformation
Regulatory compliance
Risk management
Information technology
Sarbanes-Oxley (SOX)
Engagement planning
Engagement fieldwork
Engagement wrap-up
Report composition
Client risk management
Budget monitoring
Client interviews
Client meeting facilitation
Data analysis
Process analysis
Risk analysis
Control analysis
Deliverable development
Solution development
Industry research
Presentation preparation
Proposal drafting
Report drafting
Project implementation
Confidentiality maintenance
Risk assessment
Audit program development
Audit scope determination
Internal control assessment
Operational effectiveness assessment
Audit testing
Compliance determination
Supervisory experience
Team management
Mentoring
Microsoft Office Suite (Excel, Word, PowerPoint)
IT audit applications
Research tools

Location

Maryland
NYC
Long Island
Westchester

Work Type

Full-time
Sporadic and fluctuating schedule

Experience Level

Senior Associate
Four (4) or more years of experience
Two (2) or more years of supervisory experience, preferred

Education Level

Bachelor's degree in Accounting or Finance

Salary/Compensations

$60.00/hr - $75.00/hr

Benefits

ESOP company, offering participants a stake in the firm’s success through beneficial ownership and a unique opportunity to enhance their financial well-being.
Qualified retirement plan (ESOP) is a meaningful addition to comprehensive compensation and Total Rewards benefits offerings.
BDO Total Rewards encompass more than traditional benefits.

About the Company

At BDO, how we show up matters. We build strong relationships by supporting one another, our clients, and our communities with care, curiosity, and a commitment to helping one another grow and succeed. Here, you’ll find meaningful work, leaders invested in your success, and opportunities to build a career around what matters most to you.
Our purpose is to be the people our clients count on to grow with confidence and achieve what matters most. Our values guide how we bring that purpose to life each day. Together, they shape how we work with one another, serve our clients, and create meaningful impact.
BDO provides assurance, tax, and advisory services to clients across the U.S. and around the world. No matter your role, you’ll be part of a team helping clients navigate complexity and move forward with clarity.

Equal Opportunity

Equal Opportunity Employer, including disability/vets