Internal Audit - Iowa, United States - Banco Bilbao Vizcaya Argentaria S.A.

Banco Bilbao Vizcaya Argentaria S.A. Iowa, United States

3 weeks ago

Description

Internal Audit – Broker-Dealer Associate

Internal Audit is a global area of over 700people with a multidisciplinary, dynamic and flexible team of professionalswhose knowledge and expertise covers all the organization's areas andactivities in multiple countries.

As the third line of defense, InternalAudit's (IA) mission is to independently assess the firm's overall controlenvironment, including the firm's governance processes, controls, and riskmanagement framework.

Additionally, the purpose of Internal Audit is to helpthe BBVA Group accomplish its objective by providing a systematic anddisciplined approach to assess and improve the effectiveness of its riskmanagement, control and governance process.

About the role:

Based in New York, NY you will beresponsible for executing and coordinating the internal audit activity for theUS Broker Dealer and Global Markets business with direct reportingto senior management.

You will also be integrated into other types of projectsand activities where you will learn multiple processes that support theactivity of a large financial institution such as BBVA S.A.

What are we looking for?
We are seeking a highly skilled and experienced BrokerDealer Internal Auditor to join our team.
The candidate will be responsible for evaluating andimproving the effectiveness of risk management, control and governanceprocesses within our Broker Dealer operations and the Global Markets activitiesconducted from the US

The candidate has to demonstrate strong experience and knowledge understanding FINRAand SEC rules as they apply to broker-dealers.
Knowledge about CFTC Swap Dealer and SEC/CFTC Securities Based SwapDealer activities, operations and financial reporting is desirable.

Responsibilities:
Conduct risk assessment, continuous monitoring and audit plans to ensure compliance with regulatory requirements and internal policies and procedures.

Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.

Assess the broker-dealer compliance program designed to prevent illegal, unethical, or improper business practices. Participate in the planning, fieldwork, reporting phases of the internal audit activity.

Evaluate the design and operating effectiveness of the internal control environment to ensure compliance with broker-dealer and Global Markets policies and regulations.

Identify and communicate Audit findings to Management, including recommendations for corrective actions.
Follow up on Audit findings to ensure timely and effective resolution.

Stay current with regulatory changes and industry best practices to ensure audits are conducted in accordance with relevant standards and risks.

Research current laws, rules, and other regulatory requirements to ensure Internal Audit coverage.

Develop partnerships with line of business by understanding their initiatives and key business processes and disseminate the information to internal audit management and the audit team.

Collaborate with other internal audit team members to promote effective risk management practices

A sound technical knowledge and strong relationship and communication skills are necessary, in order to build productive relationships with our partners and help us become a value-added resource.

A results-oriented approach to your job and a focus on improving the quality of your work are key to success in this role.

Education / Experience / Requirements:
Bachelor's degree in Accounting, Finance, or other related fields.
FINRA Series 7 is required. Series 27 or 24 licenses are preferred.
Relevant industry certification (e.g., CPA, CFA, CIA) is a plus
Minimum of 8 years of experience in Internal or External auditing global markets activities.

It will also be considered compliance risk, risk monitoring or in a risk and control area with capacity for the identification, measurement and analysis of risk events.

Strong knowledge of financial markets rules and regulations (CFTC, FINRA, Volcker, SEC, etc.).
Supervisory experience is preferred.

A solid foundation in the technical aspects of auditing (knowledge of general accounting, business processes, internal controls and risk assessment).

Strong collaboration and problem-solving skills.
With respect to this position in our New York Office, the expectedbase salary ranges from $150,000-$190,000. It is not typical for offers to bemade at or near the top of the range. Salary offers are based on a wide rangeof factors including relevant skills, training, experience, education, and,where applicable, certifications obtained. Market and organizational factorsare also considered. In addition to salary and a generous employee benefitspackage, successful candidates are eligible to receive a discretionary bonus.

Employment eligibilityto work with BBVA in the U.S. is required as the company will not pursue visasponsorship for these positions

All qualifiedapplicants will receive consideration for employment without regard to race,color, religion, sex, sexual orientation, gender identity, national origin,disability, or status as a protected veteran.

Additional Minimum and Preferred Qualifications
Benefits Statement

Benefits:

A variety of health and welfare and other benefit programs are available,including medical,dental, vision, Wellness Program, Personal Savings Plan (401K), Health Savings Account, FlexibleSpending Account,accident benefits, critical illness, hospital indemnity, life insurance, disability benefits, paidvacation & holidays,paid leave programs, tuition assistance programs, pet insurance and more.

Legal requirements
With respect to this position in our New York Office, the expected base salary ranges from

Legal requirements

With respect to this position in our New York Office, the expected base salary ranges from $ It is not typical for offers to be made at or near the top of the range.

Salaryoffers are based on a wide range of factors including relevant skills, training, experience, education, and,where applicable, certifications obtained. Market and organizational factors are also considered. Inaddition to salary and a generous employee benefits package, successful candidates are eligible to receive adiscretionary bonus.

Pay Transparency Policy Statement

The contractor will not discharge or in any other manner discriminate against employees or applicantsbecause they have inquired about, discussed, or disclosed their own pay or the pay of another employeeorapplicant.

However, employees who have access to the compensation information of other employees orapplicants as a part of their essential job functions cannot disclose the pay of other employees orapplicants to individuals who do not otherwise have access to compensation information, unless thedisclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation,proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistentwiththe contractor's legal duty to furnish information (41 C.F.R c)).

Individuals with Disabilities

BBVA USA, BBVA Securities Inc., and BBVA S.A. New York Branch invite all interested and qualifiedapplicants to apply for employment opportunities. If you are a U.S.-based job seeker with a disabilitywhois unable to use our online tools to search and apply for jobs, please contact us by

or by callingtoll-free (in the U.S Please indicate thespecific type of assistance needed*.

*The disability access telephone line and email address are reserved solely for job seekers withdisabilities requesting accessibility assistance or an accommodation. Please do not call about thestatus ofyour job application if you do not require accessibility assistance or an accommodation. Messages leftforother purposes, such as following up on an application or non-disability related or technical issues,willnot receive a response.

EEO Statement

BBVA USA, BBVA Securities Inc., and BBVA S.A.

New York Branch have a firm and unwavering policy toprovide equal employment opportunity without regard to age, citizenship, color, disability, ethnicorigin,gender, gender identity and expression, marital status, nationality, national origin, race, religion,sexualorientation, genetic predisposition, protected veteran status, or any other status or classificationprotected by federal, state or local law.

This policy includes all job groups, classifications andorganizational units.

With regard to employment, this policy extends to applicants and covers ourrecruiting, hiring, promotion, transfer, demotion, discipline, termination, benefits, compensation andtraining practices as well as social and recreational activities.

View the "EEO isthe Law " & "View the EEO is the Law Supplement Poster " poster. BBVA USA, BBVASecurities, Inc., and BBVA NY are equal opportunity and affirmative action employer.

BBVA is a global company with over 160 years of history present in 25countries with over 81 million customers.
We are more than 110,000 professionals working in multidisciplinary and diverse teams.

At BBVA, we are ahead of the transformation that is taking place in the banking sector,challenging the status quo, to make life easier to our customers.

Being part of BBVA means developing your career in one of the most innovative companies infinance.
Responsible banking
We're committed to responsible banking to help drive a more inclusive andsustainable society. The future of bankinglies in financing the future.

We started out with the spirit of helping others make the best financial decisions.

That spiritremains with us todayand encourages us to keep moving forward, prioritizing innovation and digital transformation sothatwe can put theopportunities of this new era within everyone's reach.

Diversity
At BBVA we believe having a

diverse

team makes us a betterbank.

For this reason,

we actively support diversity, inclusion and equalopportunities

regardless race, sex, age, religion, sexual orientation, gender identityor expression. We cultivate a collaborative and inclusive work environment that allows everyemployee to do their best work.
Our values

Our values define our identity; they are what drives us to make our goalsareality and they guide all of our actionsand the decisions we make.

#J-18808-Ljbffr

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