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Internal Audit Director - Investment and Fiduciary

  • Job type: Permanent
  • Location: New York
  • Salary: Competitive
  • Job reference: edb545
  • Sector: Buy Side, Selby Jennings, Wealth Management
  • Date posted: 07/02/2018
A US Investment Bank (over $2 trillion AUM) is seeking an Executive Director to help lead their Audit function regarding Investment Management and Fiduciary Practices. This role will sit in their Asset management function and will play a key role in assessing gaps related to fiduciary internal controls while also taking a deep dive into the first and second line investment processes and investment products as well. This will be a highly visible role in the organization as you will be expected to liaise with MDs and CROs regarding Fiduciary Risk Strategy and innovating internal controls and audit best practices for their Investment Management practices.

  • Provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities and issue validations specifically relating to investment management services
  • Identify cross-business issues and trends, and share across audit teams to affect changes to planned coverage
  • Maintain investment management expertise by staying abreast of industry, regulatory and political developments.
  • Assist the Fiduciary SME Team in the determination of necessary staff training requirements and strategies and benchmarking approach/coverage against those of our peers
  • Establish new standards and guidelines including creating and maintaining standard investment management test programs 
  • Proactively identify areas where risk exists and advise LOB audit teams on the appropriate assessment of fiduciary risk

  • 10+ years of experience within risk, compliance, internal audit, in a global asset or wealth management institutions
  • Strong knowledge of fiduciary best practices and regulations, including OCC 12 CFR 9 and ERISA
  • Ability to drive change in a positive manner via collaboration with various internal stakeholders
  • Influencing firm best practices to adjust to changing regulatory and economic environments
  • Proven communication skills; specifically with executive level individuals in written and oral presentation mediums
  • Ability to plan, manage, and lead the execution of audits
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