Internal Audit

We develop customized investment strategies that address our clients' unique objectives, requirements and tolerance for risk. We develop solutions by leveraging Conning's risk management tools and utilizing a highly disciplined investment process that relies on fundamental analysis.

Position summary:

The Internal Auditor will be responsible for executing audits across Conning Holdings Limited's global entities. This role supports the Head of Internal Audit in ensuring audit engagements are planned, executed, and reported in accordance with internal methodology and professional standards. The auditor will also contribute to risk assessments, control testing, and presentations to senior leadership and the Audit Committee. The ideal candidate will bring experience in asset management auditing, strong communication and analytical skills, and the ability to work independently in a hybrid work environment.

Responsibilities:

Audit Execution (50%)

• Plan, perform, and manage internal audits across domestic and international entities.

• Perform control testing to evaluate the design and operating effectiveness of internal controls.

• Ensure audits are executed in accordance with internal audit methodology and professional standards.

• Coordinate with co-sourcing partners as needed to support audit execution.

• Monitor progress of audit engagements, ensuring timely completion and resolution of issues, while maintaining high quality standards.

Reporting & Communication (15%)

Audit Committee Reporting

• Prepare and deliver clear, concise, and impactful presentations to the Audit Committee summarizing audit results, key findings, emerging risks, and recommended actions.

• Support the Head of Internal Audit in drafting quarterly and annual reports for the Audit Committee, ensuring alignment with governance expectations and regulatory standards.

Internal Audit Reporting

• Draft detailed internal audit reports that clearly communicate objectives, scope, findings, and recommendations to stakeholders across the organization.

• Ensure timely distribution of audit reports and follow-up on management action plans.

• Maintain documentation and reporting in accordance with internal audit methodology and quality standards.

Issue Resolution & Action Planning (10%)

• Apply critical thinking to identify root causes of issues and collaborate with stakeholders to develop actionable remediation plans.

• Facilitate discussions with business units to validate findings, assess impact, and agree on practical and sustainable corrective actions.

• Track and report on audit issue remediation status to ensure timely resolution and accountability.

Governance & Methodology Compliance (10%)

• Ensure audit activities align with internal audit methodology and contribute to continuous improvement of audit processes.

• Participate in periodic methodology reviews and contribute to updates that reflect industry best practices and regulatory expectations.

Risk Assessment (10%)

• Assist in the annual risk assessment process to identify and prioritize audit areas based on risk exposure.

• Support the development of the annual audit plan based on risk assessment outcomes.

• Monitor changes in business operations, regulatory environment, and emerging risks to inform ongoing risk assessment updates.

Travel & Collaboration (5%)

• Participate in audit fieldwork, including travel (up to 6 weeks annually), and collaborate with global teams.

• Build strong working relationships with international stakeholders to ensure effective communication and coordination across audit engagements.

Requirements:

Education & Certifications

• Bachelor's degree required; Master's degree preferred.

• CPA, CIA, or CISA certification strongly preferred.

Experience

• Minimum of 4 years of internal audit or external audit experience, preferably with Big 4 public accounting firm experience.

• Experience auditing asset management, investment management, private debt, CLOs, or fund accounting clients is highly desirable.

Skills & Competencies

• Strong organizational and project management skills.

• Excellent written and oral communication skills, including the ability to present to senior leadership.

• Possess excellent written, oral and interpersonal communication and presentation skills to effectively interact, negotiate and exercise discretion, while utilizing diplomacy when dealing with audit stakeholders and executive management. 

• Ability to work independently and manage multiple priorities.

• Strong analytical and critical thinking skills.

• International experience and cross-cultural communication skills are a plus.

• Data science skills desired, including statistical analysis, and data visualization.

Decision Making Level/Position Latitude: Broad latitude for making decisions within the scope of audit engagements. Expected to exercise sound judgment and discretion in identifying risks and recommending solutions.

Position Scope: No direct reports. Accountable for the quality and timeliness of audit deliverables. May oversee and coordinate with outsourced internal audit co-sourcing partners as needed.

Conning is an equal opportunity employer. Our company embraces the principles of inclusion; our employees can bring the best version of themselves to work every day. We thrive in an environment where everyone's voice is heard, every idea counts, and the differences of our employees are valued. We provide reasonable accommodations to those who need them.

If you are unable to complete this application due to a disability, contact us to ask for an accommodation or an alternative application process.

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity, status as a veteran, and basis of disability or any other federal, state or local protected class.

Applicants must exhibit a strong commitment to meet compliance obligations reflecting Conning's core values of honesty and integrity; must accept responsibility for compliance in each role and comply with all applicable rules, regulations, and legal requirements.