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Corporate Audit, Vice President

New York
$150,000 - $190,000 Total Compensation

Position Overview

Our client is a global investment management corporation headquartered in New York City. The global audit group is an independent global function responsible for providing assurance and advisory services covering all of Company’s businesses and operations. Audit is a critical component of the firm’s control and risk management infrastructure. The group seeks to attract and develop best-in-class talent from multi-disciplinary backgrounds including asset management, finance, technology, risk management, accounting, and operations. Successful professionals in the group will demonstrate a strong understanding of the asset and risk management business, build strong working relationships with business partners, and deliver value added services which strengthen the risk and control environment.

Position Description:

The Internal Audit Vice President will be involved in various aspects of the Audit group’s risk assessment, assurance and advisory activities, including audit planning and execution, and contributing to strategic initiatives. Areas of the business within the scope of this role will include investment and asset management, risk management, operations, finance, and compliance. Specific responsibilities will include:
  • Management and leading the execution of audits (global and regional) in the aforementioned areas including all aspects of the audit process (e.g. risk assessment; scope determination; test work; reporting). Areas of focus will cover auditing key processes and controls spanning critical areas including but not limited to: Sales & Marketing; Client Onboarding, Investment Management, Risk Management, and Corporate Operations
  • Primary Internal Audit business engagement responsibilities for one or more lines of business to discuss business performance, strategic priorities and operational matters
  • Identification and assessment of current and emerging risks, themes and trends
  • Assistance in the formation of the annual audit plan through direct input, insight and perspective around current business, industry and regulatory risk factors
  • Participation in global/cross regional audit related projects
  • Leverage industry experience to provide advisory services during the development of new businesses and systems
  • Build and maintain collaborative relationships with all risk and control functions
  • Direct administrative management responsibilities of audit staff
  • Provide timely and candid feedback and coaching to staff
  • Performing investigations, special reviews and other ad hoc projects (technical and operational in focus)

Skills and Experience:

  • Undergraduate or graduate degree in finance, economics, accounting, business management is preferred. BA/BS is required
  • Professionals with strong and broad exposure to investment management, risk management, operations, finance and compliance in the Asset Management industry
  • Financial services experience is preferable; understanding of asset management products, business processes and risk and controls systems
  • Aptitude towards investment and risk management, scenario analysis and problem solving
  • Strong project management, organizational and presentation skills
  • Excellent communication (verbal, written, and listening) and interpersonal skills; strong writing skills
  • Strong critical thinking and problem solving abilities
  • Strong quantitative skills
  • Intellectual curiosity and healthy skepticism
  • Commitment and strong work ethic
  • Proficient understanding of current regulatory and industry events
  • Ability to develop and maintain effective working relationships with peers and business partners
  • Professional certifications such as CFA or CPA (or equivalent) are a plus