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Lead Auditor in Wealth and Asset Management

2 months ago

Chicago, Illinois, United States Northern Trust Full time

About Northern Trust:


Northern Trust is a prestigious financial institution with a legacy of excellence since 1889, recognized globally for its award-winning services.


We take pride in delivering innovative financial solutions and expert guidance to a diverse clientele, including individuals, families, and institutions, adhering to our core values of service, expertise, and integrity.

With over 130 years of experience and a dedicated team of more than 22,000 professionals, we leverage cutting-edge technology and exceptional service to meet the needs of our sophisticated clients.

Role/Department: Senior Auditor, Asset and Wealth Management/Internal Audit

Our Audit Services team presents a unique opportunity for finance professionals to tackle some of the industry's most complex challenges, applying their insights and objectivity to uphold and enhance Northern Trust's esteemed reputation.

We are committed to fostering a collaborative and entrepreneurial environment, and this role will be part of the Northern Trust Asset and Wealth Management Audit Services team.

The selected candidate will lead audit project teams, providing oversight and effectively communicating engagement results to management.

This position requires leveraging technical expertise, including data analytics, and offering training to auditors within the project team.

The successful candidate will collaborate closely with Audit Specialists and Managers to define the audit scope, develop a suitable 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 with meticulous attention to detail.
  • Employ a comprehensive analytical approach to assess risks, controls, and identify gaps in processes across the business unit.
  • Lead audit planning efforts, including developing a scope that addresses key risk areas and aligns with regulatory expectations.
  • Formulate risks, controls, and corresponding test steps, 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, being clear, thorough, and concise.
  • Communicate initial findings to senior management and stakeholders for discussion and feedback.
  • Transform initial 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 methodologies.
  • Validate issues and assist junior staff with issue validation as necessary.
  • Support 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 public auditing/consulting firm.


Effective communication skills are essential for: 1) discussing business and risk with internal team members, 2) utilizing various communication methods (e.g., instant messaging, email, phone calls, or meetings), and 3) producing clear written documentation.



  • Ability and interest in building relationships across multiple time zones in a dynamic environment.
  • Capacity to undertake ad hoc projects with flexibility and creativity.
  • Skill in diagnosing problems, identifying root causes, and proposing solutions.
  • Proven analytical, project management, and problem-solving capabilities.
  • Strong proficiency in Microsoft Excel.
  • Demonstrated ability to work independently and collaboratively.
  • Capacity to perform under pressure and meet tight deadlines.
  • Adaptability and positive reaction to a changing work environment.
  • Interest in topics such as economics, investment strategy, product management, 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).

  • Internal audit experience 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 alternate between office and remote work.

Working with Us:

At Northern Trust, greater achievements await.

You will be part of a flexible and collaborative culture within an organization where financial strength and stability empower us to explore innovative ideas.


We encourage movement within the organization, ensuring accessibility to senior leaders, and take pride in our commitment to the communities we serve.


We look forward to understanding how your interests and experiences align with our organization. Build your career with us.



Reasonable Accommodation:

Northern Trust is dedicated to providing reasonable accommodations to individuals with disabilities.

If you require accommodations during the employment process, please reach out to our HR Service Center.

We value an inclusive workplace and recognize that flexibility means different things to different individuals.

We encourage you to discuss your flexible working requirements with us.