Senior Auditor, US Wealth Management

Jobtailor; Illinois; On-site; USD 90,000 - 130,000; Full time

Job summary

Jobtailor seeks an experienced audit professional to execute risk-based audits across Wealth Management and PP&D portfolios. You will assist with planning, perform fieldwork, and support reporting while contributing to continuous monitoring and issue validation activities.

The role focuses on assessing risks, evaluating control design and operating effectiveness, and communicating findings. Strong analytical and communication skills are essential, with CPA/CIA/MBA a plus.

Qualifications

• Experience planning and executing audits within a large financial institution.
• Strong knowledge of auditing practices, internal controls, regulatory requirements, and risk management.
• Experience or knowledge in wealth management, fiduciary administration, investment management, and related services.
• Bachelor’s degree or equivalent in Business, Accounting, Finance, Law, or related field, or equivalent business experience.
• Professional designation such as CPA, CIA, CFIRS, or MBA is a plus.

Responsibilities

• Execute risk-based audits across the Wealth Management and PP&D portfolio.
• Assist with audit planning, execute fieldwork, and support audit reporting.
• Contribute to continuous monitoring and issue validation activities.
• Assess key risks and understand business processes.
• Evaluate the design and operating effectiveness of controls.
• Identify and communicate control weaknesses, regulatory gaps, emerging risks, and process inefficiencies.
• Support remediation strategies and advise management on best practices.

Skills

Audit planning

Fieldwork execution

Regulatory knowledge

Internal controls

Risk management

Analytical thinking

Verbal communication

Written communication

Investigation

Education

Bachelor’s degree in Business/Accounting/Finance/Law

Tools

MS Office

Job description

• Execute risk-based audits across the Wealth Management and Private, Personal & Digital (PP&D) portfolio
• Assist with audit planning, execute fieldwork, and support audit reporting
• Contribute to continuous monitoring and issue validation activities
• Assess key risks and understand business processes
• Evaluate the design and operating effectiveness of controls
• Identify and communicate control weaknesses, regulatory compliance gaps, emerging risks, and process inefficiencies
• Support practical and sustainable remediation strategies
• Advise management and business partners on best practices and compliance with policies, procedures, and regulatory expectations
• Assess governance, processes, and controls across front-line, middle-office, and back-office wealth management risk areas
• Collaborate with audit management, team members, stakeholders, and business functions
• Participate in projects to improve and simplify audit processes
• Manage multiple audit assignments across different stages of the audit cycle
• Provide progress updates, emerging issues, and potential audit concerns to the team and manager
• Prepare clear, concise, and well-supported audit observations and reports

Requirements

• Experience planning and executing audits
• Strong knowledge of auditing practices, internal controls, regulatory requirements, and risk management principles within a large financial institution
• Experience or knowledge in wealth management, including fiduciary administration, investment management, middle office services, and wealth operations
• Bachelor’s degree or equivalent in Business, Accounting, Finance, Law, or a related field, or equivalent business experience required
• Professional designation such as CPA, CIA, CFIRS, or MBA is a plus
• Strong critical thinking and analytical skills
• Ability to investigate complex issues and analyze regulatory and control environments
• Strong verbal and written communication skills
• Legally eligible to work at the specified location(s)
• Position is not eligible for employment sponsorship
• Ability to complete attribute-based assessments and skills tests, such as simulation, coding, or MS Office

Core Competencies

Demonstrates expertise in executing risk-based audits, assessing internal controls, and ensuring regulatory compliance within wealth management. Strong analytical and communication skills are essential for identifying control weaknesses and advising on best practices.

Highest-signal resume keywords

• Risk-Based Audits
• Internal Controls
• Regulatory Compliance
• Wealth Management
• Analytical Skills

ATS Optimization Keywords

Hard Skills

• Audit Planning
• Fieldwork Execution
• Control Evaluation
• Issue Validation
• Remediation Strategies
• Audit Reporting
• Critical Thinking
• Regulatory Requirements
• Attribute-Based Assessments
• Financial Analysis

Soft Skills

• Verbal Communication
• Written Communication
• Collaboration
• Problem Solving
• Investigative Skills

Certifications & Qualifications

• CPA
• CIA
• CFIRS
• MBA

Industry Keywords

• Wealth Management
• Fiduciary Administration
• Investment Management
• Middle Office Services
• Wealth Operations
• Risk Management Principles
• Financial Institution

Tools & Technologies

• MS Office