Lead Auditor -Investment Management

Redline Associates, Inc.; United States; Remote; USD 120,000 - 160,000; Full time

Job summary

A leading company seeks an experienced Internal Audit Manager to oversee complex audits in a regulated environment. The role involves managing audit teams, developing reports, and interacting with regulators while ensuring compliance with audit standards. The ideal candidate possesses strong leadership and communication skills, with a proven history in internal auditing within financial services.

Qualifications

• Minimum 8+ years of audit experience, particularly in management roles.
• Experience in regulated financial services and IT audits is a plus.
• Strong relationship management and communication skills are essential.

Responsibilities

• Plans and conducts complex internal audits under the direction of the Audit Executive.
• Develops audit reports and engages with management to address control weaknesses.
• Participates in steering and risk committees, offering risk assessments and recommendations.

Skills

Leadership

Project Management

Communication

Teamwork

Analytical Skills

Education

Bachelor’s degree in Finance, Accounting, Information Systems, or Computer Science

MBA or M.S.

Job description

Plans and conducts multiple, concurrent, complex integrated internal audits under the general direction of the Audit Executive/Director and in compliance with audit standards, schedules and regulatory expectations. Engagements provide independent assurance and advisory services which are consistent and aligned with the Internal Audit mission business objectives. Requires strong knowledge of the Institute of Internal Auditor’s (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit Division’s methodology is aligned.

Participates in identification of possible policy and procedural changes within an area or operation. Establishes or recommends standards and long-term goals for the area managed, as well as methods to improve the operational efficiency of existing processes. Develops strong written deliverables, including audit reports and audit committee summaries. Requires in-depth knowledge of governance, audit data analytics, integrated audit approaches, IT risk and controls, system development methodologies, IT control frameworks, major IT architectures and platforms. Also requires strong knowledge of mainframe, distributed, cloud-based and network platforms, ERP, databases, data warehouses, information security, and financial services technology operations.

Requires working knowledge of various IT environments, data platforms, IT control frameworks, information security, risk based internal auditing frameworks. Strong knowledge of financial services products, services, operations and regulations; internal audit leading practices; risk management; and regulatory guidance and expectations (FRBB, OCC, SEC, State Insurance) is also preferred.

Works on problems of diverse scope using the organization’s risk based internal auditing methodology. May personally handle especially sensitive, unusual or complex audits where a broader knowledge of auditing is required. Manages the audit team and engagement through the full lifecycle. Conducts reviews of audit reports completed by less experienced team members and approves or makes adjustments for final reporting. Has accountability for delivering audit results within the agreed upon annual audit plan. Serves as SME for technology related risks within corporate IT as well as within business units. Demonstrates good judgment in evaluating the results of audits and in developing and presenting remediation solutions where control weaknesses have been identified. Participate in senior and middle management steering and risk committees, providing a proactive risk view into decision making while maintaining independence. Participates in large scale corporate IT development efforts, evaluates program and project management, raises critical issues and risks to executive and senior management.

Regularly interacts with senior and middle management, as well as internal and external peers. May interact with external auditors and regulators (FRBB, OCC, SEC, State Insurance). This position will present audit findings and recommendations and discuss their implications with senior management. This position may also provide advisory support for management as they plan process or other changes to design in controls or processes. Contributes to decisions and projects that have a high impact to the organization. Works with technology and business management to track and monitor resolution of audit issues, providing recommendations on risk and control strategies. Participates in defining audit service standards for the organization.

Qualifications

Required:

• Minimum 8+ years of audit experience including experience in an internal audit management role or a related field.
• Requires a proven track record in leading/managing IT audit teams and complex projects.
• Bachelor’s degree in Finance, Accounting, Information Systems, Computer Science, or other related discipline required. Advanced degree (MBA or M.S.) desired.
• Experience in a regulated financial services environment, requiring direct interactions with regulators such as the Federal Reserve, OCC, SEC, FINRA, or state Insurance Departments, is also preferred.
• Proven track record of building solid relationships with clients, including demonstrated abilities to approach clients in an organized and knowledgeable manner and to deliver clear requests for information
• Experience with leading integrated business/technology audits in the financial service industry
• Demonstrated time management and project management skills.
• Strong verbal and written communications skills.
• Strong team work skills including effective team interactions, providing timely and constructive feedback, negotiating issues and resolving problems