Senior Lead Auditor

Ameriprise Financial Services, LLC; Gurugram District; On-site; INR 1,500,000 - 2,100,000; Full time

Job summary

Ameriprise India LLP is seeking a seasoned audit professional to plan and execute portions of the Risk and Control Services plan, including audit activities and regulatory compliance. You will supervise projects, manage scope, schedule and deliverables, and present objectives and results to senior management.

Key responsibilities include conducting risk assessments, identifying control deficiencies, coordinating with control groups, and recommending cost-effective improvements.

Qualifications

• Candidate must have at least 7-10 years of relevant Internal Audit Experience.
• Experience in External audits would be an added advantage.

Responsibilities

• Plan and execute basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities.
• Present work objectives and results to management focusing on control deficiencies impact.
• Execute structured evaluations of risk management, controls and governance processes.
• Complete risk assessments following department standards; handle moderately complex areas.
• Identify control deficiencies, assess exposure, and propose cost-effective recommendations.
• Supervise and lead assigned projects; manage scope, schedule and deliverables to meet timelines.
• Coordinate with control groups; communicate/escalate challenges that affect timelines.
• Recommend changes to risk plans and processes to add value to stakeholders.

Skills

Internal Audit Experience

Audit Planning

Education

CA, CPA, CFA or MBA

Job description

Job Description

Ameriprise India LLP has been providing client based financial solutions to help clients plan and achieve their financial objectives for 20 years. We are part of Ameriprise Financial Inc., a US financial planning company headquartered in Minneapolis with a global presence and diversified financial services leader with more than $1.5 trillion in assets under management, administration and advisement as of year-end 2024. The firm’s focus areas include Asset Management and Advice, Retirement Planning and Insurance Protection.

Be part of an inclusive, collaborative culture that rewards you for your contributions, and work with other talented individuals who share your passion for doing great work. You’ll also have plenty of opportunities to make your mark at the office and a difference in your community. So, if you're talented, driven and want to work for a strong, ethical company that cares, take the next step and create a career at Ameriprise India LLP.

Job Description

Plan and execute basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities and presenting objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes. Supervise and lead assigned projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work.

Key Responsibilities

• Be responsible for planning and executing basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities.
• Present work objectives and results to various levels of management that focuses on the impact of control deficiencies.
• Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes.
• Complete risk assessments in conformance with department standards, generally in moderately complex areas.
• Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations. Monitor and validate Management Action Plan status. Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
• Supervise and lead assigned projects. Provide leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work. Ensure work is completed within established timelines.
• Coordinate with the appropriate control groups in planning and executing assigned work. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.
• Recommend changes to Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.

Required Qualifications

• Candidate must have at least 7-10 years of relevant Internal Audit Experience.
• Experience in External audits would be an added advantage.

Preferred Qualification

• CA, CPA, CFA or MBAwould be preferred

In-Office Collaboration

We are a client-centric, relationship-based business. Working together, in-person, is foundational to how we achieve results. By fostering a culture of face-to-face collaboration, idea sharing, productivity and personal connection, we deliver for our stakeholders — clients, advisors, employees and shareholders. Our employees work in the office at least three (3) days per week, with flexibility to work from home two (2) days per week. Some roles may require additional in-office time or different in-office expectations, and specific requirements will be discussed during the hiring process.

Full-Time/Part-Time

Full time

Timings

(2:00p-10:30p)

India Business Unit

AWMPO AWMP&S Presidents Office

Job Family Group

Finance

Ameriprise India LLP is an equal opportunity employer. We consider all qualified applicants without regard to race, color, religion, sex, genetic information, age, sexual orientation, gender identity, disability, military status, veteran status, marital status, pregnancy, family status or any other basis prohibited by law.

We are committed to fostering an inclusive and accessible recruitment process for individuals with disabilities. If you require a reasonable accommodation to participate in the application or interview process, speak to your recruiter to discuss how we can support you.