Senior Auditor

Job Description

As a Senior Auditor Associate in our Internal Audit group you will plan, execute and document audit reports, partner closely with global Audit colleagues and business stakeholders, and use judgment to strengthen internal controls.The Asset & Wealth Management (AWM) Risk Audit Team is primarily responsible for assessing the adequacy of AWM s risk management framework and processes relating to credit, market, investment, fiduciary, operational, and model risks impacting AWM. This is achieved through a comprehensive program of audit coverage that is executed by a team of integrated business and technology audit specialists.This Senior Auditor position will be based in Mumbai. The role will be primarily responsible for audit coverage of the AWM Risk Management function. The applicant must be an experienced professional who possesses good auditing skills and knowledge of asset and wealth management services, products and various financial instruments and associated risks. The role will include the following responsibilities: Responsibilities:
• Plan, execute and document audit reports, including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure while ensuring audits are completed timely and within budget
• Work closely with global Audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
• Recognize the confidential nature of Internal Audit communications and access to information; you must be disciplined in protecting the confidentiality and security of information in accordance with firm policy
• Partner with stakeholders, business management, other control groups (i.e. risk management, compliance, fraud prevention), external auditors, and regulators establishing strong working relationships while maintaining independence
• Finalize audit findings and use judgment to provide an overall opinion on the control environment through developing recommendations to strengthen internal controls
• Take ownership of self-development, including stretch assignments, to prepare for greater responsibilities and career growth, and take initiative to seek out opportunity for continued learning
• Champion a culture of innovation
• Follow How We Do Business Principles
• Stay up to date with industry trends to identify opportunities for game changing innovations or strategic partnerships
• Find ways to drive efficiency with existing technical infrastructure through automation while embracing the innovative opportunities offered by new technologies
Qualifications
• 5+ years of internal or external auditing experience, or relevant business experience
• Bachelors degree (or relevant financial services experience) required
• CA, CIA, and/or Advanced Degree in Finance or Accounting is preferred
• Experience with internal audit methodology and applying concepts in audit delivery and execution
• Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner
• Excellent verbal and written communications skills
• Strong interpersonal and influencing skills, with the ability to establish credibility and build strong partnerships with senior business and control partners
• Strong analytical skills particularly in regard to assessing the probability and impact of an internal control weakness
• Enthusiastic, self-motivated, strong interest in learning, effective under pressure and willing to take personal responsibility/accountability
• Flexible to changing business priorities and ability to multitask in a constantly changing environment
• Willing to travel as needed
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Keyskills :
internal auditaccountingaccountsfinancial statementsrisk management frameworkwealth management servicesaudit reports