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Financial Services Auditor, Asset and Wealth Management

2 months ago

Chicago, Illinois, United States Northern Trust Full time
About Northern Trust

Northern Trust is a leading global financial institution with a rich history dating back to 1889. As a Fortune 500 company, we have established ourselves as a trusted provider of innovative financial services and guidance to the world's most successful individuals, families, and institutions.

Role/Department

We are seeking a highly skilled Senior Auditor to join our Asset and Wealth Management Audit Services team. This professional will have the opportunity to work on complex, cross-functional, and high-risk audit engagements throughout the Corporation, utilizing their technical expertise and analytical skills to identify control gaps and provide recommendations for improvement.

Key Responsibilities
  • Conduct complex audit engagements with attention to detail, utilizing technical expertise and analytical skills to identify control gaps and provide recommendations for improvement.
  • Develop and lead planning for audits, including developing an appropriate scope that captures key/high-risk areas and alignment with regulatory requirements/expectations.
  • Develop risks, controls, and corresponding test steps, and review those prepared by junior auditors.
  • Execute tests of design and tests of operating effectiveness proficiently, inclusive of more advanced audit techniques.
  • Ensure audit work, including workpaper documentation, findings, and the final report, adheres to Audit Services methodology and are clear, thorough, but concise, and adequately support findings.
  • Communicate and support initial findings to senior management and/or stakeholders for challenge and discussion.
  • Translate initial findings into formal draft issues and audit report content, and assist Audit Manager with finalizing.
  • Review work of junior members on the audit, ensuring that auditing standards and department methodology expectations have been met.
  • Perform issue validation and assist junior staff with issue validation as necessary.
  • Assist with ad hoc projects as necessary, such as updating audit universe auditable entities, risk-based audit cycling analysis, etc.
Requirements
  • Bachelor's degree from an accredited institution.
  • More than four (4) years of audit experience in a financial institution or in a public auditing/consulting firm.
  • Strong communication skills to enable discussion of the business and risk with internal team members, effective use of forms of communication, and effective written communication.
  • Ability and interest to build relationships across multiple time zones in a fast-paced environment.
  • Ability to perform ad hoc projects with flexibility and professional creativity.
  • Ability to diagnose problems, determine root causes, and identify solutions.
  • Demonstrated proficiency in evidencing strong analytical, project management, and problem-solving skills.
  • Strong Microsoft Excel skills.
  • Proven ability to work independently and in a team environment.
  • Ability to work under pressure and deliver to tight deadlines.
  • Ability to adapt and react positively in a changing and dynamic work environment.
  • Interest in topics such as economics, investment strategy and research, product management, investment administration, portfolio management and trading, alternative investments, derivatives, money market funds, mutual funds, collective investment funds, unit investment trusts, exchange traded funds, hedge funds, private equity funds, separately managed accounts, undertakings for the collective investment in transferable securities, marketing and sales practices, trade and transaction reporting, performance reporting, compliance practices, accounting practices, Investment Advisers Act, Investment Company Act, Markets in Financial Instruments Directive, Global Investment Performance Standards.
Preferred Qualifications
  • Professional credentials such as Certified Internal Auditor (CIA), Certified Financial Services Auditor (CFSA), Certified Information Systems Auditor (CISA), Certified Public Accountant (CPA), Certified Fraud Examiner (CFE), Chartered Financial Analyst (CFA).
  • Internal audit experience within Asset and/or Wealth management.
Working with Us

As a Northern Trust partner, you will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas. We encourage movement within the organization, and our senior leaders are accessible. You can take pride in working for a company committed to assisting the communities we serve.

We value an inclusive workplace and understand flexibility means different things to different people. We hope you're excited about the role and the opportunity to work with us.