Sr. Manager, Internal Audit

Role Summary

The Senior Manager supports the Internal Audit team on the design and execution of the annual audit plan. Responsibilities will include; lead and/or execute audit projects from planning to reporting while providing guidance and oversight to more junior professionals; monitor the status of corrective action plans; establish and maintain business relationships internally and externally; and provide regular updates to key stakeholders through reporting.

Responsibilities

• Leads or be significantly involved in end-to-end audit and/or consulting projects, including: planning, testing, reporting, and issue monitoring. Reviews work performed as part of the audit process by the supporting audit manager. Manages numerous activities and ensure projects are executed in accordance with budget and timeline. Understands and consistently applies internal methodologies, industry requirements, and best practice. Supports more complex audit as assigned.

• Evaluates business processes for gaps and weaknesses and where appropriate, recommends pragmatic solutions. Identifies opportunities to streamline the process and create operational efficiencies. Liaise with the global Internal Audit Department (“IAD”) and where appropriate, other Assurance teams, to identify potential scope overlap and reduce audit fatigue.

• Reviews departmental documentation and audit workflow to identify and report on weaknesses in current policies and practices as related to the audit and processes. Assists with implementation of new policies and practices to address concerns and strengthen processes.

• Builds relationships with internal business stakeholders in order to enhance the audit brand and stay informed of enterprise-wide processes and controls to ensure alignment with the firmwide strategy, risk appetite and regulatory expectations. Where applicable, leverage industry / professional institutes’ events to build external awareness of the Company and the audit brand.

• Develops and maintains understanding of the regulatory environment the Company and its subsidiaries operate in and stays vigilant of departmental or other business operations and practices of risk.

• Where applicable, identify data analysis opportunities by overseeing or otherwise performing data analysis on assigned data sources/datasets or for business areas supported, which may include operational effectiveness.  

• Provides clear communication to key stake holders on a range of audit activities including audit coverage and plan status, audit scope, and audit findings.

Qualifications

Required:

• Bachelor's degree or the equivalent combination of education and relevant experience AND

• 8+ years of total relevant work experience

Preferred:

• Certified Internal Auditor certification

• Asset Management experience

• Experience leveraging data analytics tools and/or generative AI tools

FINRA Requirements

FINRA licenses are not required and will not be supported for this role.

Work Flexibility

This role is eligible for hybrid work, with up to one day per week from home.

Note: There will be the need to travel to HP up to two times/week.