Finance Associate

  • location: Baltimore, MD
  • type: Contract
  • salary: $16.66 per hour
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job description

Finance Associate

job summary:






Team is responsible for providing a quality assurance check on all work conducted by the vendor TCS in pulling information requested by auditors. The team is also responsible for working with different business units in the event that the requested information cannot be attained by themselves or TCS. Additionally, the team is responsible for assessing requests sent by auditors in order to determine if it can be processed by the firm or not.



Responsibilities:

  • Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for SEC rule 17A-13.
  • Develop and maintain effective partnerships with all stakeholders on issues related to audit confirms.
  • Manage, escalate, track and ensure resolution on issues that pose operational regulatory or reputational risk to the firm.
  • Identify and contribute to operational risk projects related to strategic business initiatives.
  • Ensures existence of mitigating controls and constantly question procedures, checklists and reports to ensure that they are current and accurate.


Daily tasks within Audit Control team may require the following:

  • Proactively manage all communication from external and internal clients to ensure a timely and adequate response.
  • Scrutinize/supervise all data pulled by the vendor team and ensure quality information is being sent to the auditors/clients.
  • Preparing and analyzing metrics for senior management in order to provide transparency to the volumes the team encounters.
  • Use of Microsoft Office suite, particularly excel and outlook (Intermediate level; use of pivot tables, formulas including lookup functions and managing multiple inboxes).
  • Become efficient in the use of internal firm systems as quickly as possible.
  • Work is conducted in a team environment with various internal deadlines throughout the day; must be willing to ask questions when unsure of procedure to ensure the team achieves its objectives.
  • Excellent communication skills with a level of comfort/experience talking to both internal senior stakeholders and external stakeholders


Experience in high pressure situations where tight deadlines need to be met



Experience dealing with high volumes of incoming mail



Being able to be trained remotely and a desire to learn



Experience with 17A13 and audit confirmations is of course preferable but not a requirement





 
location: Baltimore, Maryland
job type: Contract
work hours: 8 to 5
education: Bachelor's degree
experience: 1 Years
 
responsibilities:






Team is responsible for providing a quality assurance check on all work conducted by the vendor TCS in pulling information requested by auditors. The team is also responsible for working with different business units in the event that the requested information cannot be attained by themselves or TCS. Additionally, the team is responsible for assessing requests sent by auditors in order to determine if it can be processed by the firm or not.



Responsibilities:

  • Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for SEC rule 17A-13.
  • Develop and maintain effective partnerships with all stakeholders on issues related to audit confirms.
  • Manage, escalate, track and ensure resolution on issues that pose operational regulatory or reputational risk to the firm.
  • Identify and contribute to operational risk projects related to strategic business initiatives.
  • Ensures existence of mitigating controls and constantly question procedures, checklists and reports to ensure that they are current and accurate.


Daily tasks within Audit Control team may require the following:

  • Proactively manage all communication from external and internal clients to ensure a timely and adequate response.
  • Scrutinize/supervise all data pulled by the vendor team and ensure quality information is being sent to the auditors/clients.
  • Preparing and analyzing metrics for senior management in order to provide transparency to the volumes the team encounters.
  • Use of Microsoft Office suite, particularly excel and outlook (Intermediate level; use of pivot tables, formulas including lookup functions and managing multiple inboxes).
  • Become efficient in the use of internal firm systems as quickly as possible.
  • Work is conducted in a team environment with various internal deadlines throughout the day; must be willing to ask questions when unsure of procedure to ensure the team achieves its objectives.
  • Excellent communication skills with a level of comfort/experience talking to both internal senior stakeholders and external stakeholders


Experience in high pressure situations where tight deadlines need to be met



Experience dealing with high volumes of incoming mail



Being able to be trained remotely and a desire to learn



Experience with 17A13 and audit confirmations is of course preferable but not a requirement





 
qualifications:






Team is responsible for providing a quality assurance check on all work conducted by the vendor TCS in pulling information requested by auditors. The team is also responsible for working with different business units in the event that the requested information cannot be attained by themselves or TCS. Additionally, the team is responsible for assessing requests sent by auditors in order to determine if it can be processed by the firm or not.



Responsibilities:

  • Maintain and develop regulatory knowledge to serve as a subject matter expert and central point of contact for SEC rule 17A-13.
  • Develop and maintain effective partnerships with all stakeholders on issues related to audit confirms.
  • Manage, escalate, track and ensure resolution on issues that pose operational regulatory or reputational risk to the firm.
  • Identify and contribute to operational risk projects related to strategic business initiatives.
  • Ensures existence of mitigating controls and constantly question procedures, checklists and reports to ensure that they are current and accurate.


Daily tasks within Audit Control team may require the following:

  • Proactively manage all communication from external and internal clients to ensure a timely and adequate response.
  • Scrutinize/supervise all data pulled by the vendor team and ensure quality information is being sent to the auditors/clients.
  • Preparing and analyzing metrics for senior management in order to provide transparency to the volumes the team encounters.
  • Use of Microsoft Office suite, particularly excel and outlook (Intermediate level; use of pivot tables, formulas including lookup functions and managing multiple inboxes).
  • Become efficient in the use of internal firm systems as quickly as possible.
  • Work is conducted in a team environment with various internal deadlines throughout the day; must be willing to ask questions when unsure of procedure to ensure the team achieves its objectives.
  • Excellent communication skills with a level of comfort/experience talking to both internal senior stakeholders and external stakeholders


Experience in high pressure situations where tight deadlines need to be met



Experience dealing with high volumes of incoming mail



Being able to be trained remotely and a desire to learn



Experience with 17A13 and audit confirmations is of course preferable but not a requirement





 
skills: Excel
Equal Opportunity Employer: Race, Color, Religion, Sex, Sexual Orientation, Gender Identity, National Origin, Age, Genetic Information, Disability, Protected Veteran Status, or any other legally protected group status.

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