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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, with a focus on the Corporate Operations and Risk Management functions. Responsibilities include all aspects of the audit process (e.g. risk assessment; scope determination; test work; reporting).
Execution of Anti-Money Laundering (AML) audits globally and key contributor to the Internal Audit AML program.
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
Interact with regulatory examiners upon request
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, corporate and risk management business processes, and risk and controls systems
Strong knowledge of US AML regulatory requirements and extensive experience auditing AML programs.
Aptitude towards investment and risk management, scenario analysis and problem solving
Regulatory background is a plus
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
Preferred Qualifications: Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE) or Certified Internal Auditor (CIA), or relevant certification
Other Professional certifications such as CFA or CPA (or equivalent) are a plus
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