Asset and Wealth Management - Investment Managemen job in New York City, NY| Recruit Arrow
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Asset and Wealth Management - Investment Managemen
Location : New York, New York City
Refer job # JMRH339053
Job Responsibilities and Requirements: The Asset and Wealth Management (AWM) Audit Team is responsible for assessing the adequacy of the control environments across all the AWM businesses. This is achieved through a program of audit coverage which is performed and managed by a global team of integrated business and technology specialists. This Audit Manager position is based in New York and responsible for audit coverage of the AWM (e.g., Fixed Income, Equity, Global Liquidity and Operations groups) reporting directly to the AWM Americas Team Lead. This position is responsible for audit execution, ongoing risk assessment and relationship management with key business stakeholders and their support groups. The applicant must be an experienced professional who possesses strong auditing skills, good knowledge of the asset management business, financial instruments and products, and solid understanding of the fiduciary activities and related internal controls systems within a financial institution. As a member of the AWM Audit Team, you will be responsible for: Develop and maintain an in-depth understanding of business areas, its products, and supporting functions Lead and execute audits from planning to reporting and delivering quality products within department and professional standards. This includes; however, not limited: (1) perform detailed control assessments and test work across multiple AWM businesses, functions and processes; (2) make and present commercially effective recommendations to strengthen internal controls and improve operational efficiency; (3) ensure audits are completed timely and within specified timeframe and budget; and (4) follow-up on audit and regulatory identified issues and their resolutions Perform continuous monitoring of various AWM business groups Establish strong work relationships with AWM business and control groups (e.g., Risk, Compliance) Work closely with regional audit colleagues within the AWM audit team in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders Stay current with evolving industry and regulatory changes, and analyze impact to business objectives, processes, and compliance At least 7 years of Asset Management audit or business experience Solid knowledge of products and services provided within an asset management business (e.g., portfolio management, trading, risk management, trade operations, pricing, portfolio analysis and measurement, regulatory reporting), including related fiduciary activities Knowledge of applicable laws and regulatory requirements related to asset management such as Investment Advisors Act, Investment Company Act, OCC 12 CFR 9 and ERISA Excellent verbal and written communication skills with the ability to present complex and sensitive issues to senior management in a persuasive manner Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness Proven ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically Ability to lead/execute multiple audits at once (proven ability to be able to multi task and be able to change priorities) Works well individually, and in teams, shares information, supports colleagues and encourages participation Strong skills in time management and problem solving Enthusiastic, self motivated, effective under pressure and willing to take personal accountability Be prepared to travel to the business locations Minimum bachelors degree or relevant financial services experience in Accounting, Finance, Economics or related discipline MBA degree, professional accountancy qualification and/or other professional certifications, such as Series 7, CFA or CFIRS are a plus.
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