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Lead Auditor

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

As a member of the Insurance Operations and Institutional Investments & Finance audit team, this position leads assessments of the Company’s risk management processes and systems of internal control.  These assessments add value to the organization by improving Company operations and compliance which positively impacts our product value and financial strength.  The Insurance Operations and Institutional Investments & Finance audit team focuses on audits of the Life, Disability, and Long Term Care insurance operations and compliance programs, as well as the Company’s public, private, and real estate investment operations, and Human Resources, Actuarial, Third Party Risk Management, and Field Compensation.

Principal Accountabilities

  • Technical expert in Institutional Investments and Accounting or Insurance Business Operations and serves as a resource for Corporate Audit staff and business partners on risks and controls in area of expertise.
  • Leads audits and consultations by scanning for and assessing risks of a given area, documenting controls, and developing testing plans to address the risks, executing on high risk testing, reviewing testing performed by staff, and drafting issues and reports. Will also assess risks posed by business area and assesses the frequency and depth of future audits.
  • Works with department leadership on planning and scheduling audits on their team. Manages audits and projects to assure that budgets and timelines are established and adhered to and monitors staff assigned to project to ensure objectives are met.
  • Evaluates alternatives and recommends solutions based on industry and regulatory knowledge to business partners, addressing areas of identified non-compliance or where control enhancements can be made while considering the impact of change within the business area.
  • Utilizes data analytics (ACL, Excel, Power BI, etc.) to perform audit testing and to evaluate, validate, and profile data.
  • Communicates the audit process, objectives, timing, and outcome to business partners, senior management and where appropriate to entity audit committees and boards.
  • Participates with department leadership on department wide initiatives as applicable. Utilizes industry, regulatory, and organizational knowledge to recommend process improvements for their core area or the department and works with leadership to implement changes.
  • Provides mentoring, training, and feedback to staff in area of expertise, audit technical matters, and for personal development. Provides input to department leadership on staff evaluations.
  • Develops and maintains strong relationships with business partners to assure key communication needs are addressed and expectations are managed while maintaining professional standards. Leads strategic communication plan regarding the final report with business partners with limited guidance from department leadership by articulating risks identified, recommending solutions, and effectively influencing changes to policies or procedures, which may involve negotiating with business partners.
  • Participates and provides control consultation on corporate projects and committees (leading where appropriate) in areas of expertise.
  • Supports the department's internal quality review process by performing quarterly quality assessments and providing the results and suggestions for improvements to department leadership.
  • Leads efforts to work collaboratively with business partners to close audit issues for core areas of responsibility.

Minimum Requirements

  • Bachelor’s degree in accounting, MIS, Risk Management, economics, business, or other relevant discipline
  • Minimum of eight years of diverse experience in Audit or Financial Services industry of which at least four years of lead auditor or demonstrated experience managing and leading complex, cross functional projects is required. The remaining four years of experience may be in some combination of business specific experience such as regulatory, financial, information technology, or other relevant business experience.
  • Demonstrated leadership skills and ability to lead others without direct authority, influencing a broad audience to adopt a particular strategy or direction.
  • Strong project management skills with the ability to lead or manage corporate wide audit projects or process improvement initiatives with a high degree of self-motivation and initiative.
  • Ability to negotiate and build consensus in a way that enables groups of people with diverse perspectives to accept a majority or common conclusion.
  • Ability to adapt to change, deal with ambiguity and adjust (his/her) work to meet changing needs and information. Proven ability to build rapport and exercise tact, diplomacy, and understanding of internal customers.
  • Experience coaching and mentoring employees or previous experience as a people manager.
  • Candidate must also have certification relevant to position (CPA, CIA, CIDA, FLMI, CISA or CISSP) or be willing to obtain in an agreed upon timeframe.

Benefits:

Great pay package, 401K, Company sponsored retirement plan, Educational assistance, Performance based incentive pay, Medical, dental and vision insurance, Parental leave, Caregiver time off….and more!

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now!

W e 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.

If you work or would be working in Colorado or outside of a Corporate location, please click here for information pertaining to compensation and benefits.


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We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.