Staff Auditor, Investment Management

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Profile Summary:
Position will assist Auditor, Audit Senior or Audit Manager in the planning and execution of individual audits within the Investment Management Line of Business or Function (LOB) to ensure controls are in place to avoid losses and meet regulatory requirements. The Associate will perform testing of the system of internal controls, test compliance with established policies and procedures, and identify opportunities to improve operational efficiency. The Associate will participate in a variety of auditing assignments.

Profile Description:

Technical

Assist with the planning and execution of audits within the LOB, including:

• Conducting audit planning activities and preparing or revising audit programs to accomplish audit objectives
• Performing audit procedures and preparing acceptable working papers which record and summarize audit data and adequately support conclusions
• Performing testing of key controls in accordance with established standards and protocols to determine whether the controls are operating effectively
• Utilizing the Computer Assisted Auditing Tools (CAATs) reports that were developed to test controls
• Exercising judgment in documenting audit results, analyzing results and testing conclusions
• Preparing potential audit issues in the event that exceptions are identified, taking into consideration the root cause of the issue and providing a realistic recommendation for enhancing internal controls or efficiency of operations
• Working with supervisor to communicate audit test results to Line of Business management verbally and through audit recommendations
• Perform special projects/assignments at the direction of Audit Management

Client

• Communicate LOB/Function audit concerns to supervisor to assist in ensuring the client’s efforts  to address high risk issues are resolved

Overall

• Responsible for personal development through enhancement of technical and audit skills in the LOB and active participation in the performance management process
• Continue to grow a personal support network by developing and building relationships throughout Internal Audit and within the LOB
• Develop effective leadership and teamwork skills
• Assist Internal Audit Management in the Department’s recruiting efforts
• Participate in creating and leading changes by identifying pragmatic improvement opportunities
• Lead with passion and clarity by effectively managing her/his own professional development

Knowledge & Experience:

• 0 to 2 years of experience in auditing or relevant business.
• Bachelor’s degree with a major/minor or emphasis in Accounting, Finance or Business is required
• Exhibits emerging comprehension of the LOB strategy, products, operations and potential risk areas
• Builds effective and collaborative peer-level relationships and works well in teams
• Works independently in order to contribute to team objectives
• Demonstrates analytical and problem solving skills
• Proactively identifies and escalates issues (if applicable) to supervisor as they arise
• Good written and verbal communication skills
• Adaptable and open to new ideas and change
• Demonstrates time management and the ability to effectively balance multiple tasks
• Ability to complete work with limited instructions, yet know when to seek guidance from supervising staff when circumstan