Senior Auditor - Wealth

Citizens Financial Group • Johnston, RI

11h

About The Position

Senior Auditor – Wealth Management The Internal Audit team at Citizens is hiring a Senior Auditor on our Core Banking and Wealth Management team. The Internal Audit team is comprised of skilled professionals with the mission of consistently providing the Board, Audit Committee, Shareholders, and Executive Management with an independent and objective view of the effectiveness of the bank’s control environment, risk management practices, and culture. The Senior Auditor will participate in audit activities primarily relating to the Wealth Management and Private Bank businesses, including investment and broker-dealer audits of Citizens Securities, Inc. and Registered Investment Advisors. These audits will entail evaluation of investment advisory obligations, fiduciary risk, suitability, conflicts of interest, and interaction with front-office advisors. From time-to-time, the Senior auditor may also participate in Core Banking-related audits, such as audits of Deposit Products, Automated Teller Machines, and the Contact Center. As part of our team, you’re made ready for a fulfilling career with exciting new challenges and opportunities to stretch yourself. As the Senior Auditor, you will deliver a defined, typically high-risk aspect of audit engagement, through operational delivery of audit work under supervision, across Citizens’ various business lines, in line with methodology, standards, and procedures. You will be responsible for executing audits to ensure that bank policies, processes, and procedures are being followed, and that internal controls and safeguards are in place and are adequate, effective, and efficient. Most importantly, you will feel valued for who you are and supported to achieve what’s important to you, personally and professionally!

Requirements

• 3-5 years of experience in the field of internal audit, risk management, and/or retail banking.
• Demonstrated understanding of broker-dealer and investment advisory regulations (i.e., SEC/FINRA), products, and investment practices, including associated risk and control considerations.
• Ability to work in a team environment, and independently when required.
• Ability to handle multiple projects simultaneously using planning and organizational skills.
• Ability to exercise critical thinking and work under tight deadlines.
• A high level of accuracy and attention to detail.
• Strong verbal and written communication skills.
• Ability to effectively build and manage relationships with stakeholders.
• Ability to train and develop junior team members.
• Proficiency in Microsoft Word and Excel.
• Bachelor’s degree required.

Nice To Haves

• Prior audit experience pre ferred.

Responsibilities

• Prepare for upcoming assigned audits by reading relevant background material and/or review prior audit work.
• Identify risks and controls in key businesses and design test plans to assess the effectiveness of controls.
• Perform detailed test work, applying bank, industry, and regulatory guidance.
• Produce clear, complete, concise, and well-organized workpapers in accordance with Internal Audit’s Methodology.
• Present potential issue(s) and/or other relevant information to Internal Audit and business line management, effectively communicating key information.
• Validate the remediation of issues to ensure risk is sufficiently mitigated.
• Act as lead auditor on sections of large audit engagements or lead auditor on small audit engagements, with responsibility for supervision of Staff Auditors.
• Execute certain routine team responsibilities, such as performance of continuous monitoring activities, team scheduling, or representing the Internal Audit team at meetings with business line management.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees