Senior Wealth Management Auditor
2 weeks ago
About Northern Trust:
Northern Trust is a prestigious financial institution, recognized globally and operating since 1889, with a strong commitment to providing exceptional financial services to individuals, families, and institutions.
With over 130 years of expertise and a workforce exceeding 22,000, we leverage advanced technology and unparalleled service to cater to the needs of our sophisticated clientele.
Role/Department:
Senior Auditor, Asset and Wealth Management/Internal Audit
The Audit Services team presents an opportunity for finance professionals to tackle complex challenges in the industry, applying their knowledge and insights to uphold and enhance Northern Trust's esteemed legacy.
Our dedicated workforce fosters an entrepreneurial, collaborative, and passionate environment. The selected individual will become part of the Northern Trust Asset and Wealth Management Audit Services team.Depending on their skills and experience, the chosen candidate will lead audit project teams, oversee audit processes, and communicate engagement results to management.
This role will also require the application of technical expertise, including data analytics, and providing mentorship to auditors within the audit team.
The successful candidate will collaborate closely with Audit Specialists and Audit Managers to define the audit scope, develop an effective testing strategy, guide the audit team to successful conclusions, and present findings to senior management.
Key Responsibilities:
Conduct intricate, cross-functional, and high-risk audit engagements across the organization with meticulous attention to detail.
Exhibit a comprehensive analytical approach to assess risks, controls, and identify gaps in processes within the business unit.
Lead audit planning efforts, establishing a scope that addresses key risk areas and aligns with regulatory standards.
Formulate risks, controls, and corresponding test steps while reviewing those prepared by junior auditors.
Execute design tests and operational effectiveness tests proficiently, utilizing advanced audit techniques.
Ensure that audit documentation, findings, and final reports comply with Audit Services methodology, maintaining clarity and thoroughness.
Communicate initial findings to senior management and stakeholders for discussion and feedback.
Translate preliminary findings into formal draft issues and assist the Audit Manager in finalizing reports.
Review the work of junior auditors to ensure adherence to auditing standards and departmental expectations.
Assist with issue validation and support junior staff as needed.
Participate in ad hoc projects as required (e.g., updating audit universe auditable entities, risk-based audit cycling analysis, etc.)
Skills/Qualifications:
Bachelor's degree from an accredited institution.
Over four (4) years of audit experience in a financial institution or a public auditing/consulting firm.
Strong communication skills for effective discussions regarding business and risk with internal team members, and proficiency in various communication methods (e.g., instant messaging, email, phone calls, meetings).
Ability to build relationships across different time zones in a fast-paced environment.
Flexibility and creativity in executing ad hoc projects.
Capability to diagnose issues, identify root causes, and propose solutions.
Demonstrated proficiency in analytical, project management, and problem-solving skills.
Strong skills in Microsoft Excel.
Proven ability to work independently and collaboratively in a team setting.
Capacity to perform under pressure and meet tight deadlines.
Adaptability and positive reaction to changes in a dynamic work environment.
Interest in areas 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, and compliance practices.
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).
Experience in internal audit within Asset and/or Wealth management.
Working Model:
Hybrid
We offer a balanced hybrid working model to provide the flexibility needed, allowing the successful candidate to split their time between office and remote work.
Working with Us:
At Northern Trust, greater achievements await.
As part of a flexible and collaborative work culture, you will thrive in an organization where financial strength and stability empower innovative ideas.
Opportunities for movement within the organization are encouraged, senior leaders are accessible, and you can take pride in working for a company dedicated to supporting the communities we serve.
We look forward to learning how your interests and experience align with one of the world's most respected and sustainable companies.
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