Associate, Internal Controls in New York, NY

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Finance & Insurance   •  

5 - 7 years

Posted 7 weeks ago


The Associate of Internal Controls will be responsible for ensuring compliance with Finance policies, procedures, and internal controls over financial reporting at Santander Investment Securities, a registered broker dealer located in New York City. This position will report into the Vice President of Internal Controls in the Second Line of Defense and is responsible for testing of key controls, identifying and implementing process improvements and the monthly reporting of all findings, deficiencies, and remediation plans identified through process monitoring, internal reviews, or external examinations.

Additional Responsibilities:

  • Supports Finance by developing and maintaining a business control program in compliance with company objectives
  • Conducts control testing and reports results to management and other applicable individuals
  • Tracks all internal and external audit recommendations and coordinates remediation efforts
  • Develops and maintains a detailed understanding of all processes and applications related to assigned business area
  • Assesses the impact of changes to business area systems and processes; provides recommendations and/or feedback on identified risks to current process, workflows or applications
  • Reviews procedures and process maps produced by the First Line of Defense
  • Review/challenge the RCSA program and identify opportunities for improvement
  • Continually evaluates and enhances process workflows to implement best practices
  • Support key initiatives and system conversion impacting Finance, including the implementation of a new Oracle General Ledger
  • Interacts with Internal and External Auditors and Regulators to demonstrate compliance with control and regulatory requirements

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.


  • CIA and/or CFSA certification preferred or demonstration of successful passing of Series 7 and/or other financial services related exam.
  • Solid experience in financial services; broker-dealer and future industries operations or relevant audit experience in these areas
  • Bachelor's Degree: Accounting Finance, Business or Equivalent Field
  • 5-7 years of experience plus 3-4 years of audit or relevant experience
  • Strong interpersonal skills for interfacing with all levels of internal and external audit and management
  • Analytical and problem solving skills
  • Effective negotiation skills, a proactive and 'no surprises' approach in communication issues and strength in sustaining independent views
  • Technology and computer skills, proficiency in Microsoft Office (Word, Excel, Outlook, Powerpoint).
  • Ability to work independently
  • Detail Oriented with organization skills
  • Verbal and written communication skills.