Audit Manager - Wealth Management Solutions

We are on the lookout for a talented Audit Manager to join our Asset and Wealth Management Internal Audit team.

This is your opportunity to play a crucial role in enhancing our organization's governance and operational excellence!

As an Audit Manager on the Asset and Wealth Management Internal Audit Team, you will develop and execute the annual audit plan, manage audit engagements, oversee and perform audit testing, and participate in applicable control and governance forums.

Job responsibilities


* Lead and participate on audit engagements, from planning to reporting, and produce quality deliverables to both department and professional standards, while ensuring audits are completed timely and within budget


* Work closely with global Audit colleagues in the early identification of emerging control issues, and report them in a timely manner to Audit management and business stakeholders


* Partner with stakeholders, business management, other control groups (i.e.

risk management, compliance, fraud prevention), external auditors, and regulators, establishing strong working relationships while maintaining independence


* Effectively manage teams where required, performing timely review of work performed and providing honest and constructive feedback


* Implement and execute an effective program of continuous auditing for assigned areas, including monitoring of key metrics to identify control issues and adverse trends


* Stay up to date with evolving industry trends, external news and regulatory changes, and analyze the impact to the business


* Find ways to drive efficiency with existing technical infrastructure through automation while embracing the innovative opportunities offered by new technologies

Required qualifications, capabilities and skills


* 7+ years of internal or external auditing experience, or relevant Asset and Wealth Management business experience


* Bachelor's degree (or relevant financial services experience)


* Knowledge of applicable laws and regulatory requirements related to private banking, investment advisor, broker-dealer and fiduciary activities.


* Experience with internal audit methodology and applying concepts in audit delivery and execution


* Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner


* Knowledge of applicable laws and regulatory requirements related to broker/dealer and fiduciary activities


* Strong interpersonal and influencing skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management

Preferred qualifications, capabilities and skills


* CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred


* 12 CFR 9 expertise and knowledge


* Familiarity with share plan ...