Wealth Management Audit Lead: Risk & Controls

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

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.