Audit Manager - Human Resources, Legal, and Corporate Responsibility

About the position

We are on the lookout for a talented Audit Manager to join our Corporate Functions 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 within our Corporate Functions Internal Audit Team, you will develop and execute the annual audit plan, manage audit engagements, oversee and perform audit testing, and participate in control and governance forums.

Responsibilities

• Lead and participate in audit engagements, including global audits, from planning to reporting.
• Ensure the production of quality and timely deliverables that meet both departmental and professional standards, while ensuring audits are completed timely and within budget.
• Finalize audit findings and use judgment to provide an overall opinion on the control environment as well as providing recommendations to strengthen internal controls.
• Collaborate closely with global Audit colleagues in the early identification of emerging control issues and report those issues in a timely manner to Audit Management and business stakeholders.
• Partner with stakeholders, including other control groups (such as risk management, compliance), external auditors, and regulators.
• Establish strong working relationships while maintaining independence.
• Effectively manage audit team members as required, performing timely reviews of audit work performed, and providing honest and constructive feedback to enhance team performance.
• Implement and execute an effective program of continuous auditing for assigned coverage areas, including monitoring key metrics to identify control issues and adverse trends.
• Stay up to date about evolving industry trends, external news, and regulatory changes and analyze their impact on the function.
• Identify opportunities to drive efficiency within existing technical infrastructure through automation, while embracing innovative opportunities offered by new technologies.
• Recognize the confidential nature of Internal Audit communications and access to information; disciplined in protecting the confidentiality and security of information in accordance with firm policy.

Requirements

• 7+ years of internal or external auditing experience, or relevant business experience
• Bachelor's degree (or relevant financial services experience)
• Experience with internal audit methodology and the application of those concepts in the delivery and execution of audits
• 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
• Knowledge of various financial instruments, investment vehicles and capabilities, including alternative investments such as real assets, private equity, private credits, etc.
• Experience with using data analytics and large language models, as well as champion a culture of innovation
• 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

Nice-to-haves

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