Senior Internal Auditor, Associate - Asset and Wealth Management

We are looking for a fast-learner who can work independently and collaborate well with team members. As a Senior Auditor, Associate, in our Internal Audit group you will strengthen internal controls.

As a Senior Auditor - Associate, on our Private Bank team, you will plan, execute and document results/findings of audit engagements, ongoing risk assessments and continuous monitoring activities. Further, you must possess strong auditing skills and good knowledge of the relevant financial services businesses, financial instruments and products, associated internal controls and applicable fiduciary activities.

Job responsibilities

• Plan, execute and participate in audit activities, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
• Produce high quality deliverables that are in line with both department and professional standards, and within the assigned timeframe and budget
• Build and maintain key relationships and partner with stakeholders, business management and other control groups (risk management, compliance, legal, control management) to perform continuous monitoring of business activities and assess emerging trends impacting the control environment
• Communicate audit findings to management and identify opportunities for improvement in the design and effectiveness of key controls
• Take ownership of self-development, including stretch assignments, to prepare for greater responsibilities and career growth and takes initiative to seek out opportunity for continued learning
• 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

• 5+ years of internal or external auditing experience, or relevant business experience
• Bachelor's degree (or relevant financial services experience)
• Strong experience with internal audit methodology and in applying concepts in audit delivery and execution
• Good knowledge of relevant financial services business (preferably private bank brokerage/discretionary activities) and financial instruments and products
• Good 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, influencing and analytic skills as well as excellent verbal and written communication skills

Preferred qualifications capabilities and skills

• CPA, CIA, CFIRS and/or Advanced Degree in Finance or Accounting is a plus

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