Leads or performs audit related activities and works as a team member on audit assignments. Leads risk-focused fieldwork, in accordance with Internal Audit policies, methodologies, and standards in order to identify meaningful issues, risks and other exposures in the Asset Management areas.
The individual is responsible for ensuring testing is adequately thorough and accurate to allow an evaluation of the adherence to company policies and procedures, audit methodologies, and all applicable regulations.
Draws on extensive experience and/or specialist skills (e.g. technology, advanced operational knowledge, or experience, etc.) to plan and deliver audits.
Able to query business clients and colleagues in Audit to understand the underlying processes and procedures necessary to evaluate the control risks.
Has built a deep understanding of core concepts in data analytics, the regulatory environment, the financial services industry, the asset management industry, project management and business processes and can integrate these concepts into audit processes and leverage them to solve difficult problems.
Able to balance multiple simultaneous assignments, including audits and other departmental tasks and functions.
Identifies inconsistencies with the control environment, regulatory requirements and best practices and initiates the development of a structure or solution to address the issue(s).
Understands the sensitive nature of confidential information and uses it appropriately.
Develops relationships with the audit management, other Audit associates, and clients. Able to clearly explain the audit process to clients (if appropriate), as well as any findings or results, both verbally and in written reports.
Has demonstrated ability to explain technical/complex issues to nontechnical audiences and applies advanced analytical problem-solving skills and leads others in solving complex issues and identifying innovative solutions. Thinks beyond past routines about new issues or risks.
Identifies Digital opportunities including audit data analytics and automation solutions.
Demonstrates understanding of businesses and processes through flowcharting, work papers, analysis, issue identification and discussions with project leaders and auditees on projects of varying complexity.
Performs research independently and has adequate knowledge of statistical sampling and risk analysis to perform research with technical accuracy.
Engages in Continuous Monitoring activities. Uses knowledge of financial services and asset management, and all applicable regulatory requirements on a day to day basis.
Engages in relevant training regarding audit, businesses, financial controls, regulations, or a particular specialty and actively seeks to apply this knowledge in their role and pass it on to the wider audit team.
Demonstrates leadership through work guidance and training of less experienced peers and through advice to assigned clients.
No direct reports but may lead others on discrete projects or mentor team members.
Contributes to the achievement of team goals.
Bachelor’s degree or equivalent combination of education and work experience required. Degree in Accounting, Finance preferred. 5-7 years of total work experience preferred. Prior experience in Audit and any relevant experience in Asset Management preferred. Additional core skill requirements include critical thinking and problem solving.
Reference : Senior Auditor II – Investment Management jobs
Source: http://jobrealtime.com/jobs/technology/senior-auditor-ii-investment-management_i16138
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