Audit Manager- Investment Management - Regal Executive Search

Audit Manager - Investment Management

 

The role of an Audit Manager: 

Oversees and executes assigned areas of audit work, providing day to day coaching and guidance to teammates. Executes audit strategy for the sound application of risk based auditing by defining audit scope, audit program, and test procedures. Typically acts as Auditor-in-Charge (AIC). Demonstrates strategic thinking and supports change.

Oversees  audit testing to ensure timely execution within quality standards and conformance to audit policies and procedures. Assesses issues for impact to business processes, controls and strategies, recommends severity ratings and escalation of broad themes or trends. Drafts quality and timely audit reports and shares results with business leaders. Manages business partner relationships when conducting specific audits; primary engagement is with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment. When leading an audit engagement, is responsible for day to day coaching, mentoring, and performance feedback. Fosters an inclusive work environment.

 

Responsibilities:

 

Provides expertise, advice and counsel based on advanced business and/or audit experience within wealth management and investment management complex businesses.

 

Provides leadership for projects and audit activities over portfolio and asset management activities.

 

Proactively implements audit strategy for the sound application of risk based practices

 

Exercises judgment and influences the business and peers.

 

Build and maintain key relationships with stakeholders.

 

Required Skills:

 

• 
  At least 5 years of asset/investment management experience in audit, the line of business and/or other related control/risk/compliance function experience
  
• 
  Knowledge of asset/investment management services and supporting operations within a wealth management business including portfolio management, portfolio construction, trading, and wealth advisory services
  
• 
  Knowledge of applicable laws and regulatory requirements including banking (OCC 12, CFR 9) and broker/dealer regulations (FINRA, SEC)
  
• 
  Excellent communication skills; Verbal / Written Communication (Executive Summary)
  
  Proficient work paper review skills
  
• Excellent risk assessment skills
• In-depth product knowledge
• Ability to influence your business partner
• Strong project management skills
• Strong coach and trainer
• Associate performance management
• Displays personal courage and makes difficult decisions
• 
  Basic Analytical / Automation Skills; Strong understanding of principles
  
• 
  Critical Thinking / Problem Solving
  

 

Desired Credentials:

 

• CFA, Certificate in Investment Performance Measurement, Certified Trust and Financial Advisor, CIA, or other investment related certification or licensing, MBA or CPA