Internal Audit

In this role, you will be responsible for conducting comprehensive audits within the investment management sector, focusing on areas such as equity, fixed income, and hedge funds. You will collaborate with cross-functional teams to enhance audit processes through data analysis and automation, ensuring compliance with established policies and identifying opportunities for operational efficiency. Your insights will be critical in presenting findings to management and driving improvements across the organization.

Key Responsibilities:

Conduct audits related to investment management, including equity, fixed income, hedge funds, and private equity, as well as sales distribution, compliance, operational, risk, and performance audits.

  • Collaborate with data analysts to develop and implement automated testing, risk assessments, and monitoring dashboards.

  • Prepare audit announcement memos, narratives, flowcharts, risk assessments, control matrices, and audit procedures.

  • Document and evaluate internal controls, identifying strengths and weaknesses in financial and operational processes, and recommend opportunities for increased efficiency.

  • Assess the integrity of operational data and compliance with established policies and procedures throughout the audit process.

  • Work alongside IT audit teams to perform integrated audits.

  • Prepare and present audit reports detailing findings and recommendations to management.

  • Follow up with management to ensure the implementation of Management Action Plans.

  • Participate in special projects as needed.

Qualifications:

  • Bachelor’s degree in Finance, Accounting, or Business.

  • CPA or CFA certification preferred.

  • 8 to 10 years of experience in external and/or internal auditing, preferably in asset management or financial services.

  • Strong data analysis skills.

  • Experience with Computer-Assisted Audit Techniques (CAATs) and data visualization tools, such as Tableau, is advantageous.

  • Familiarity with ACL, MS-SQL, Python, and Excel Pivot Tables preferred.

  • Ability to manage multiple projects effectively with strong project management skills.

  • Proven ability to engage with management personnel.

  • Strong analytical and critical thinking skills.

  • Team-oriented, adaptable, and proactive.

  • Proficient in identifying and documenting key issues and concerns.

  • Excellent oral and written communication skills.

  • Familiarity with audit workpaper and flowcharting tools (e.g., TeamMate, Visio).

  • Knowledge of investment management processes, operational risks, best practices, and relevant regulations preferred.

How to Apply: