Wealth Management Auditor - Inv Bank

A Leading US based investment bank is looking for candidates with 2-6 years of experience in wealth management auditing.

Job Description:

1. General support in Continuous Monitoring.

2. Assist in the preparation and compilation of management reporting related tasks specific to WM, which include but are not limited to: issue and action tracking, various board book presentations and MRA monitoring, audit status and resource management reporting.

3. Provide support for specific processes/testing in WM audits.

The key tasks will be as follows:

a) Perform process walkthroughs and prepare documentation.

b) Perform controls testing in accordance with the Department’s audit methodology.

c) Assist in drafting control issues and identify resolution and timelines for remediation.

d) Participate in continuous auditing (PACE).

e) Assist with closure verification procedures for external (regulatory) and internal audit issues.

f) Assist with closure verification procedures for external (regulatory) and internal audit issues.

g) Contribute to miscellaneous assurance activities not annotated above.

Skills Required:-

Minimum of two to six years’ experience in the Financial Services industry or a Public Accounting Firm with emphasis on the Wealth Management industry .

- Prior audit experience in wealth management with exposure to investment products (mutual funds, insurance and annuity products, exchange traded funds, etc.), investment advisory, sales practices and client suitability reviews, capital markets trading and supervision, and broker-dealer operations.

- Technical understanding of the regulatory environment with respect to FINRA and SEC Regulations.

- Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting,

- Excellent project management skills capable of multi-tasking various requirements and deadlines

- Strong written and oral communication skills.