INTERNAL AUDITOR-INVESTMENT MANAGEMENT AT GLOBAL INVESTMENT MANAGEMENT FIRM

Finance
New York, NY
April 22, 2025
$110,000 - $145,000
Full Time
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  • Job Description

Global, solidly established Investment Manager looking for an experienced auditor (internal or external) to join its Team as an Internal Auditor-Investment Management. In this role, you will play a key role in executing Audits across the firm’s business lines and support functions spanning equity, fixed income, private wealth management and alternatives asset classes. You will work in close collaboration with other members of the Internal Audit Department, Legal & Compliance, Operations, Risk, Front Office Personnel, and other Supporting Functions.

Hybrid role with Three (3) Days in the Office and Two (2) Days Remote/Virtual.

REQUIREMENTS AND SKILLS

  • Bachelor’s Degree in Finance, Accounting, Business, or Related Field required.
    CPA, CFA preferred.
  • Six to Ten (6-10) years Internal and/or External Audit Experience; Asset Management or Financial Services Related required.
  • Experience in Private Wealth is strongly preferred.
  • Knowledge of investment management processes, operational risks, best practice standards, rules and regulations.
  • Strong data analytics experience, including the ability to analyze large data sets for audit testing and risk assessments.
  • Working knowledge of data querying and visualization tools, (e.g., Tableau, SQL, Python, etc.) a plus.
  • Proficient with audit workpaper and flowcharting tools (TeamMate, Visio, etc.).
  • Strong project management and multi-tasking capabilities; ability to prioritize effectively and meet deadlines in a fast-paced environment.
  • Self-motivated, enthusiastic, collaborative, and flexible with the ability to work independently and as part of a team.
  • Demonstrated ability to interact with senior management and stakeholders across various business functions.
  • Excellent oral and written communication skills.
  • Proficient in highlighting key issues and concerns.
  • Business travel is expected (approximately 10-15%).

RESPONSIBILITIES AND DUTIES

  • Perform audits covering equity, fixed income, and alternative investment strategies, as well as reviews of private wealth management, trust company, sales distribution and supervision, client reporting, fund governance, compliance, operations, risk, branch exams, etc.
  • Work closely with data analysts to create and utilize automated testing, risk assessments, and monitor dashboards to improve audit efficiency.
  • Prepare audit deliverables including announcement memo, narratives, flow charts, risk assessments, control matrices and audit procedures.
  • Document and assess the control environment, identify strengths and weaknesses of internal controls, and recommend enhancement opportunities to mitigate risk.
  • Evaluate the integrity of operational data and ensure compliance with established policies, procedures and regulatory requirements through the audit process.
  • Coordinate with Technology Audit to conduct integrated audits for bother operational and technical controls.
  • Prepare and present audit reports with findings and recommendations for control enhancements to senior management.
  • Track action plans and follow up with management to ensure implementation of agreed upon plans and remediation efforts.
  • Participate in special projects, including process improvement initiatives and ad hoc risk assessments.

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