Internal Auditor (Assistant Vice President) - Pelham Berkeley Search

Mid-sized Asset Management Firm seeks Internal Auditor (Assistant Vice President).

You will be the auditor in charge performing audits including preparation of detailed work papers supporting the audit results and audit report inclusive of management action plans.

As in internal Auditor, you will provide an independent, objective assessment of risk management and internal control activities designed to add value and improve operations.

This will include participating in audit testing and identifying and understanding risks and controls associated with various banking business functions, and conducting review and testing to determine the design and effectiveness of controls and efficiency in place.

This is a full time direct hire role with a high profile firm that offers interesting work, opportunity for promotion, competitive compensation and a great benefits package.


In summary you will:

• Assess the internal control environment as part of various assigned audits; perform audits including preparation of detailed work papers supporting the audit results and audit report inclusive of management action plans.
• Evaluate internal controls in the key risk areas of banking activities to ensure compliance with internal policies and procedures.
• Perform testing to identify control weaknesses and recommend improvements in processes, structure, policies and procedures.
• Help execute the entire audit process (including but not limited to, audit planning, risk assessment, continuous monitoring and issue tracking) as part of assigned audits.
• Ensure that all audit documentation for projects within the scope of the responsibilities for the role are adequately and timely documented and signed off prior to report issuance and in anticipation of Quality Assurance reviews.
• Contribute to the strengthening of the Internal Audit function by introducing innovative audit concepts and techniques (CAATs,...) to all audits performed and by training other members of the Internal Audit in areas of expertise, including internal control best practices  
• Advance the internal control environment through appropriate challenges and the identification, reporting and tracking of high-impact risk issues that align with industry best practices and regulatory requirements.

Requirements include:

• 6+ years of auditing experience, business experience in auditing front office business activities (Sales/Trading, Lending) and related support functions (operations, market/ credit risk, etc.) and the regulatory environment specific to these areas. Strong technical account, business and auditing background with substantial experience and knowledge of the banking industry; prior experience in Trust, Custody, and Securities Lending a plus.
• Must be an active critical thinker, intellectually curious and professionally tenacious.
• Microsoft Windows, Word, Excel, Outlook, Access, Power Point Internet Explorer, and Visio.
• An active professional certification in public accounting or internal auditing is required (CPA, CIA, CISA)
• Bachelor's Degree or an advanced degree with Accounting or in related course of study preferred.

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