Corporate Audit V.P. Internal Audit
Posted on Dec 31, 2020 by Request Technology - Robyn Honquest
Corporate Audit VP Internal Audit
Looking for a candidate who will focus on corporate operations and risk management. Must have regulatory and AML audit experience (Anti-money laundering). Must have experience in global audits investment and asset management risk management operations finance and compliance CAMS CFE or CIA certifications preferred BA/BS required
The Internal Audit Vice President will be involved in various aspects of the Audit group's risk assessment, assurance and advisory activities, including audit planning and execution, and contributing to strategic initiatives. Areas of the business within the scope of this role will include investment and asset management, risk management, operations, finance, and compliance.
Specific responsibilities will include:
- Management and leading the execution of audits (global and regional) in the aforementioned areas, with a focus on the Corporate Operations and Risk Management functions. Responsibilities include all aspects of the audit process (eg risk assessment; scope determination; test work; reporting).
- Execution of Anti-Money Laundering (AML) audits globally and key contributor to the Internal Audit AML program.
- Primary Internal Audit business engagement responsibilities for one or more lines of business to discuss business performance, strategic priorities and operational matters
- Identification and assessment of current and emerging risks, themes and trends
- Assistance in the formation of the annual audit plan through direct input, insight and perspective around current business, industry and regulatory risk factors
- Participation in global/cross regional audit related projects
- Leverage industry experience to provide advisory services during the development of new businesses and systems
- Build and maintain collaborative relationships with all risk and control functions
- Interact with regulatory examiners upon request
- Direct administrative management responsibilities of audit staff
- Provide timely and candid feedback and coaching to staff
Skills and Experience:
- Undergraduate or graduate degree in finance, economics, accounting, business management is preferred. BA/BS is required
- Professionals with strong and broad exposure to investment management, risk management, operations, finance and compliance in the Asset Management industry
- Financial services experience is preferable; understanding of asset management products, corporate and risk management business processes, and risk and controls systems
- Strong knowledge of US AML regulatory requirements and extensive experience auditing AML programs.
- Aptitude towards investment and risk management, scenario analysis and problem solving
- Strong project management, organizational and presentation skills
- Excellent communication (verbal, written, and listening) and interpersonal skills; strong writing skills
- Strong critical thinking and problem solving abilities
- Strong quantitative skills
- Intellectual curiosity and healthy skepticism
- Commitment and strong work ethic
- Proficient understanding of current regulatory and industry events
- Ability to develop and maintain effective working relationships with peers and business partners
Certified Anti-Money Laundering Specialist (CAMS), Certified Fraud Examiner (CFE) or Certified Internal Auditor (CIA), or relevant certification