Internal Audit Manager - Vice President - Asset Management

Vice President, Audit Manager

We are on the lookout for a talented Vice President, Audit Manager to join our Asset Management 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 Asset Management Internal Audit Team, you will plan and lead audit engagements, oversee and perform audit testing, document audit reports, partner closely with global colleagues and business stakeholders, and use judgment to strengthen internal controls. We are looking for a fast-learner who can work independently and collaborate well with team members. The role is highly visible and also offers you exposure to senior executives outside of Internal Audit across the bank. The applicant should possess good knowledge of relevant financial services businesses, financial instruments and products, and associated internal controls within Asset Management.

Job 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
• 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 audits 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 informed about evolving industry trends, external news, and regulatory changes affecting the financial and Asset Management industry, and analyze their impact on the business.
• Identify opportunities to drive efficiency within existing technical infrastructure through automation, while embracing innovative 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
• Identify opportunities to apply AI-enabled tools, prompt engineering, and data analytics and drive adoption across the audit lifecycle to enhance audit quality, efficiency and risk coverage

Required qualifications, capabilities, and skills

• 7+ years of internal or external auditing experience, or relevant Asset and Wealth Management 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 (e.g., 12 CFR 9) related to asset management, investment advisor, 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.
• Demonstrated ability to modernize audit testing using advanced technology and data-driven methods to improve quality, efficiency, and consistency across Asset Management audits.

Preferred qualifications, capabilities, and skills

• CPA, CIA, and/or Advanced Degree in Finance or Accounting is preferred
• Experience utilizing data analytics (e.g., Alteryx/Python) and building large language model prompts to improve audit quality, efficiency, and risk coverage