Internal Audit is responsible to provide comprehensive audit coverage for the Firm and to assist management in ensuring proper internal control over firm assets and financial reporting. This will include strengthening the organization’s internal control structure, identifying opportunities for process and control improvements, monitoring compliance with laws and regulations and sharing best practices.
The Internal Audit department is responsible for performing the following activities:
- Overseeing SOX 404 compliance, including but not limited to: documenting key processes and controls over financial reporting through narratives and flowcharts; evaluating and testing certain key controls; coordinating efforts with key process owners, external auditors and co-source engagement; reviewing critical vendor SOC I reports for user entity considerations; ensuring the firm complies with all regulatory obligations; and reporting findings to management.
- Overseeing SSAE-18 audit; serving as liaison between process owners and external auditors.
- Preparing quarterly reports and presenting to the Audit Committee of the Board of Directors at quarterly meetings.
- Establish and manage Enterprise Risk Management infrastructure for the firm with key personnel across the firm.
- Conduct firm-wide risk assessment to determine audits to be performed for the year.
- Prepare audit reports, including but not limited to compliance and operational risk-based audits, make recommendations for control enhancements and present to executive management and the Audit Committee.
- Make recommendations to enhance business processes through consulting audits and identify opportunities to improve operational efficiencies.
- Perform ad-hoc process and procedural reviews requested by management.
- Ability to accept and facilitate change, whether indicated by corporate needs, market or regulatory requirements.
- Lead the Risk Management Committee, which meets on a quarterly basis, to vet new business initiatives and address associated controls and procedures.
- Member of Vendor Committee and GDPR Working Group
- 5+ years internal audit or external audit related to financial services industry, and preferably asset management
- Professional certification highly desired (CPA and/or CIA)
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.