VP Internal Audit Investment Management

Full Time

Global Investment Bank

Office Status: Hybrid

Global investment bank subsidiary seeking VP for Internal Audit Review. The client is building out a new team in NYC. Hybrid schedule with flexible work model. In office only 1 to 2 days per week. The position is seeking someone motivated and has direct experience within Internal Audit. This is a great opportunity for Senior level AVP equivalent roles to build upon your skill set with an industry leading client. This client is the largest financial services company in terms of asset management. This is a brand-new team allowing more leadership and decision making. The position is seeking someone with 5 years of experience or more for the VP level role.

Responsibilities:

  • Reports to the Head of Business Audit.
  • Responsible for executing and project managing assigned audit engagements with minimal supervision and in adherence to department standards, which are based on applicable regulations and internal/external professional practice expectations.
  • This may involve supervision of the execution of assigned audits, including planning, fieldwork, reporting, and issue tracking and follow-up.
  • Responsible for internal partner management and the supervision of and accountability for the quality of and judgment calls in audit work.
  • Responsible for staff management on individual audit engagements.
  • Lead staff members on an engagement-by-engagement basis.
  • Accountability for executing audits effectively and efficiently, the position is expected to:
    • Perform audits in accordance with established standards as outlined in the current Internal Audit Policies and Procedures by supporting the audit results and audit report inclusive of management action plans.
    • Assess the state of governance, risk management and internal control (GRC) processes to identify internal control gaps or weaknesses related to key business risks.
    • Directly perform all phases of the internal audit process, including control test work and documentation, or direct other USAO team members to perform audit work as well as reviewing/providing feedback to them on their work to ensure the collective business audit work meets the expectations of our USAO function. Specifically, the position will be assigned to assess the GRC processes of the Bank’s business areas.
    • Demonstrate seasoned analytical and critical thinking skills in assessing the Bank’s GRC processes, inclusive of enterprise and emerging risks, for the areas assigned to audit (or perform other assurance activities of, including issues tracking and validation, continuous monitoring, auditable entity/key project/key business risk assessments, etc.)
    • Demonstrate positive influence on management to advance the internal control environment for the Business through credible challenge and the identification, reporting and tracking of high impact risk issues that align with industry best practices and regulatory requirements and expectations for the areas of expertise. Therefore, an understanding of relevant regulatory expectations is essential to execute the audit engagements. As relevant, contribute with the Third Line of Defense’s assessment of management’s plans to respond to regulatory issues and inquiries.
    • Effectively manage partner relationships to a mutually accountable, productive, encouraging and trusted level. Training other members of the Internal Audit in areas of expertise, including internal control best practices and other duties as assigned by the manager. 8. Adhere to the Internal Audit methodology in place. Minimize Quality Assurance comments, (and address QA findings promptly). Act as a leader and role model to assist USAO management to implement process improvements stemming from QA reviews.
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