Risk Control & Audit Senior Analyst

Piper Jaffray Minneapolis , MN 55415

Posted 6 months ago

Piper Jaffray is a leading middle market investment bank and asset management firm serving clients in the U.S. and internationally. Our proven advisory teams combine deep product and sector expertise with ready access to global capital. Founded in 1895, the firm is headquartered in Minneapolis and has offices across the United States and London.

We are currently seeking a Risk Control & Audit Senior Analyst to join our team in Minneapolis. This position will report to the Head of Risk Control & Audit and will support key Internal Audit initiatives by working closely with business line leaders and other support functions throughout the organization. The Risk Control & Audit team is in place to enhance and protect organizational value through risk-based and objective assurance, advice and insight.

Responsibilities:

  • Plans and manages risk-based internal audits as determined by the annual audit plan

  • Leverages relevant regulatory guidelines, internal policies & procedures, and industry best practices to apply appropriate testing techniques

  • Ensures consistent and detailed work papers to support audit conclusions

  • Assesses the design and operating effectiveness of key controls based on the relevant risk

  • Develops testing procedures and adjusts audit scope as needed

  • Assesses the scope of the audit to align with current risk profile and changes in business lines

  • Monitors and designs data analytic reports to create testing efficiencies

  • Manages and enhances audit software to automate the audit process

  • Collaborates with business partners to adjust risk assessment based on audit testing

  • Develop strong working relationships with business partners

  • Update the annual audit plan based on the firm-wide risk assessment

  • Acts as a liaison and key contact for the Risk Control & Audit Team

Basic Qualifications:

  • Bachelors' degree required Business, Finance, Economics, Accounting, Mathematics, Statistics, Data Science or other relevant field

  • Experience: 6-10 years of experience

  • Capital Markets experience preferred including Broker-Dealer, Investment Banking, Public Accounting, or Internal Audit

  • Experience working cross-collaboratively with a small team and a flat organization

Preferred Skills/Experience:

  • Tableau data analytic reporting experience

  • Microsoft Visio experience

  • OnSpring experience

  • Capital markets or Financial services industry experience

  • Series 7, 27, CIA, CISA, CPA or other relevant industry designation

  • Ability to facilitate group discussions

  • Ability to interact effectively with management and business line leaders

  • Strong business acumen including writing skills

  • Strong technical, analytical and problem solving skills

  • Detail oriented and strong time / project management skills

  • LI-KM1

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Risk Control & Audit Senior Analyst

Piper Jaffray