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Investment Products and Operations Audit Consultant

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Summary:

Incumbent plans and conducts audits and project work of moderate complexity within Retail Investments audit practice. Supports multiple audits/projects concurrently. Plans audits of moderate complexity related to a variety of business activities, processes and operations, performs a broad and comprehensive analysis to identify business risks, determine audit objectives and resource requirements, and develops audit programs to evaluate internal controls related to financial risks, operational activities, and compliance requirements. Presents audit and project recommendations, discusses their implications and builds consensus with management. Provides business and audit related technical expertise and consulting support to business clients regarding internal controls in core area. Assist in the orientation of new auditors.

Primary Duties & Responsibilities:

  • Plans and conduct audits and project work of moderate risk and complexity within Retail Investments practice focusing on investment advisor, broker-dealer, trust bank, and related compliance/supervision activities. Serves as a team member on higher risk and more complex audits, working under the direction of a lead auditor.
  • Plans, organizes, and conduct the audits in core area and reviews progress against audit objectives; assures departmental and professional quality standards are met. Demonstrates strong audit skills, business area expertise and a core understanding of project management concepts.
  • Understands the business structure in their area. Places audit work in business context through understanding of business objectives. Builds trusted relationships within the department and with clients in multiple business units to ensure key audit goals are addressed and client expectations are managed appropriately.
  • Prepares near final audit reports for moderate complexity audits. Issues draft findings to client management. Leads communication regarding the final report with limited guidance from audit manager, including negotiating and resolving client concerns.
  • Consults on client initiatives to assist management in designing or implementing changes to business processes.
  • Understands business and organizational structure and business objectives in core area.
  • Provides technical expertise and consulting support to management on business and control issues related to core area in order to establish/maintain reputation as business level consulting resource within Retail Investments audit practice.
  • Identifies process improvement opportunities within the scope of assigned audits/projects. Facilitates the analysis and evaluation of recommended solutions to meet client needs. Identifies, recommends and facilitates the analysis, evaluation, and implementation of department process improvements.

Knowledge, Skills, Abilities:

  • Undergraduate degree relevant to internal audit (Accounting, Business, Economics, etc).
  • CPA, CIA, CISA or CISSP preferred.
  • Five or more years experience in an auditing, compliance, or position related to Retail Investment audit practice .
  • Strong skills analyzing data in connection with audits, compliance or risk management.
  • Significant experience using data analytics tools (Excel, ACL, etc.)
  • Strong analytical and problem solving skills
  • Strong oral and written communication skills.
  • Project management skills.
  • Knowledge of industry and regulatory practices and procedures within Retail Investment audit practice, including relevant specialty designations. (e.g. CIDA, Series 7 or Series 6, CLU, CFE, CIFRS)
  • Strong interpersonal, teamwork and conflict resolution skills.
  • Proven ability to deal with ambiguity and respond to changing business needs.
  • Proven ability to build rapport and exercise tact, diplomacy and understanding of internal customers.

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This job is not covered by the existing Collective Bargaining Agreement.

Required Certifications:

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We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.


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