Audit-Finance & Regulatory-Manager
Dynamics Associates - New York, NY

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TITLE: Finance & Regulatory

LEVEL: Manager


Graduates / auditors operate as team members on audits, acting under direction of team leaders or senior auditors. Their involvement in any specific project may range from one or two days of fieldwork to several weeks, spanning preparation, fieldwork and reporting.


• Participate in briefing with team leader to discuss role in relation to the specific audit.

• Read any relevant background material in order to prepare for audit.

• May participate in setting up and carrying out site visits. Conduct ‘walk through’ interviews with key individuals to identify processes, risks and controls. Capture data in the form of process maps and meeting notes and share key information with colleagues / team leader.


• Participate in site visits to test effectiveness of controls.

• Carry out tests to assess effectiveness of controls - may involve data analysis / observation / interviews with colleagues within the business.

• Write up results of tests in audit database.

• Meet with team leader / project team colleagues to share data, clarify understanding and identify potential issues.


•Write up meeting notes and reports on tests of controls, and enter other data into audit database in line with Group Internal Audit guidelines.

Other Activities

•Participate in team meetings.

• Participate in GIA conferences.

• Participate in own performance appraisal meetings.

• Participate in knowledge sharing events to promote own and others’ business / product knowledge and continuing professional development.

•Deliver specific aspects of an audit on time and quality standards, using GIA methodology. Role holders are assigned specific objectives under the headings of First Class Team, Product and Service.

Scope of Role: What decisions is the job /role responsible for?

• Graduates / auditors work under the direction of an Audit Manager, and therefore do not have significant decision-making responsibility. However, within these parameters, they have some scope for deciding when and how to conduct individual interviews and specific pieces of fieldwork, in line with the overall scope and timescales of the project, and in consultation with the team leader.

Financial Management: What are the key responsibilities of the job /role?

• No budgetary responsibilities. However, Graduates / auditors are required to minimise costs and use their time efficiently in carrying out their work.

Requirements and Qualifications: