Senior Manager, Audit and Advisory Services

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today. 

Working Arrangement

Job Description

The Senior Manager is accountable for planning, directing, and completing high-quality, professional, cost-effective, beneficial, and risk-based internal audits and advisory engagements for retail wealth-related business functions in the US and Europe.  The Senior Manager may have direct responsibility for one or more projects simultaneously and may perform hands-on audit work to complete the project.  Additionally, the Senior Manager has a strong influence on the development of Senior Auditors, CPA candidates and interns. 

Responsibilities:

• Plan and lead audit projects and report to the Director and AVP on progress.
• Build effective relationships with the business, specifically within the US and Europe Retail Wealth and US Retirement business units.
• Lead audit staff assisting on projects including reviewing completed files to ensure quality of work completed, and adherence to department and IIA standards.
• Manage projects within time resource budgets and target dates, reporting any timing problems or budget variances to the Director and AVP.
• Understand the risks being handled by the business unit; develop audit scope and audit programs to evaluate the controls in place to mitigate these risks.
• Draft clear, concise, and well-organized audit reports, including executive summary and rating of the adequacy of risk management, and issue reports within departmental service standards.
• Present findings and recommendations to business unit management; resolve contentious issues and reach agreement on appropriate solutions.
• Follow up and track open audit issues until resolved.
• Provide on-the-job training and feedback to staff assisting on assignments.
• Use technology including data analytic techniques to improve the effectiveness and efficiency of the audit process.
• Coordinate work required to complete annual SOX and MAR testing in collaboration with management, SOX/MAR PMO and COEs, and the external auditors.

How will you create impact?

The Senior Manager reports to the Audit and Advisory Services Sr. Director. Audit and Advisory Services assists the company in achieving its strategic objectives through a well-adapted approach to evaluate the efficiency of the company’s governance, risk management, and internal control processes.

What motivates you?

• You obsess about customers, listen, engage and act for their benefit.
• You think big, with curiosity to discover ways to use your agile approach and enable business outcomes.
• You thrive in teams and enjoy getting things done together.
• You take ownership and build solutions, focusing on what matters.
• You do what is right, work with integrity and speak up.
• You share your humanity, helping us build a diverse and inclusive work environment for everyone.

What we are looking for:

• University degree required
• Pursuing or awarded a recognized accounting (CPA, CA) or auditing (CIA, CISA) designation is preferable, but not essential
• 6 to 8 years of audit, risk management, operations, or equivalent investment-related business or advisory/consulting experience
• Understanding of business processes and their risk implications, ability to analyze situations, reach appropriate conclusions, and make value-added and practical recommendations
• Good understanding of wealth and asset management retail operations, applicable regulations, and risks
• Strong problem-solving and analytical skills
• Strong interpersonal skills and ability to effectively communicate ideas and recommendations orally and in writing, and to listen and consider ideas of others
• Commitment to quality and results-oriented
• Ability to work independently, direct the work and development of others, balance multiple priorities and projects, and meet deadlines
• Innovative thinking and commitment to continuous improvement to enhance the quality of audit work and efficiencies in audit processes
• Experience working in an agile environment (e.g. agile auditing, agile projects) is beneficial
• Good understanding of technology and its impact on business risks
• Experience using data analytics to improve audit coverage and efficiency of audit processes<