Snr Audit Manager

Ethos BeathChapman; Brisbane; On-site; AUD 180,000 - 270,000; Full time

Job summary

Ethos BeathChapman is seeking a Senior Internal Audit Manager for a leading financial services organisation. The role provides independent assurance across investment management and funds operations, with exposure to senior executives and Audit Committees.

You will lead risk-based audits across asset classes, from equities to derivatives, and evaluate front-to-back investment controls. The position offers Sydney or Brisbane base and the opportunity to influence risk governance at the highest

Qualifications

• Experience in IA within Investment Banking, Asset Management or Funds Management.
• Knowledge of ASIC and APRA regulatory frameworks.
• Experience auditing investment operations and fund administration.
• Ability to challenge and influence senior executives.

Responsibilities

• Lead risk-based audits across investment asset classes and risk controls.
• Evaluate controls across front, middle and back-office operations.
• Assess investment governance, fund administration and portfolio management.
• Review risks related to liquidity, outsourcing and third-party providers.
• Assess regulatory compliance and operational risk in investment activities.
• Deliver audit findings with practical recommendations to senior management and Audit Committees.
• Build trusted relationships with investment teams and Risk, Compliance.

Skills

Internal Audit

Stakeholder engagement

Regulatory knowledge

Investment products

Portfolio management

Audit governance

Education

CA/CPA/ACCA/CIA/CFA

Job description

An exciting opportunity has arisen for an experienced Senior Internal Audit Manager to join a leading financial services organisation, providing independent assurance across its investment management and funds operations.

This highly visible role will work closely with senior executives and key stakeholders, delivering risk-based audits across a complex investment environment. This position could be Sydney or Brisbane based.

Key Responsibilities

• Lead risk-based audits across a broad range of investment asset classes, including Shares & Equities, Derivatives, Fixed Income, Cash and Money Market instruments, assessing investment processes, trading activities and associated risk controls.
• Evaluate the effectiveness of controls across front, middle and back-office investment operations, including trade execution, valuation, pricing, settlement, reconciliations, investment mandate compliance and counterparty risk.
• Assess investment governance, fund administration, portfolio management, valuation processes and investment controls.
• Review key risks relating to investment mandates, liquidity, custody, outsourcing and third-party service providers.
• Evaluate regulatory compliance, operational risk and control effectiveness across investment activities.
• Deliver insightful audit findings and practical recommendations to senior management and Audit Committees.
• Build trusted relationships with investment teams, Risk, Compliance and senior leadership.

About You

• Internal Audit experience gained within Investment Banking, Asset Management or Funds Management.
• Strong understanding of investment products, financial markets, fund structures and associated operational risks.
• Experience auditing investment operations, fund administration, investment governance or portfolio management.
• Sound knowledge of relevant regulatory requirements, including ASIC and APRA frameworks.
• Excellent stakeholder engagement skills, with the confidence to challenge and influence senior executives.
• Relevant professional qualifications such as CA, CPA, ACCA, CIA or CFA will be highly regarded.
• Join this forward thinking, dynamic team with excellent leadership and make a difference!