Senior Auditor, Wealth Management/Asset Management

5 days ago

Chicago, Illinois, United States Northern Trust Full time

About Northern Trust

Northern Trust is a leading global financial institution that has been in continuous operation since 1889. We are proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity.

Role/ Department

As a Senior Auditor, Asset and Wealth Management, you will join our Audit Services team, which provides the opportunity for financial services professionals to work on some of the most challenging issues in the industry. Our talented people empower us, and we believe in building a team that is entrepreneurial, collaborative, and passionate.

Key Responsibilities

  • Conduct complex, cross-functional, technically difficult, and high-risk audit engagements throughout the Corporation with appropriate attention to detail.
  • Demonstrate a deep analytical approach to understand risks, controls, and identify control gaps in processes across the business unit.
  • Lead planning for audits assigned, 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.

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.
  • 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 Model

We have a balanced hybrid working model to ensure you get the flexibility you need.

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. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve.

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