Senior Audit Manager-Investments
Core
Lead risk-based internal audits across investment activities, ensuring SOX compliance and assessing controls over valuation, reporting, and portfolio accounting.
Role type
Senior IC audit manager (investments)
Builds
Independent assurance and advice on investment risk and control environments
Domain
Financial services / Insurance / Investments
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Risk assessment, SOX 404 compliance, control design evaluation, financial reporting auditing, portfolio accounting, regulatory compliance, team supervision, data analytics, project management
Preferred skills
Data analysis tools (ACL, IDEA, Qlikview, Tableau), Agile audit methodology
Technologies
MS Excel, Access, ACL, IDEA, Qlikview, Tableau
Responsibilities
Lead risk-based internal audits across investment activities; Oversee SOX 404 compliance efforts; Assess controls over investment valuation and financial reporting; Partner with Finance leadership to identify control gaps; Review complex financial transactions for accuracy; Drive continuous improvement initiatives; Supervise and mentor audit staff; Coordinate with external auditors on SOX reliance; Utilize data analytics to enhance audit effectiveness; Support enterprise risk assessment activities.
Seniority
Senior, hands-on IC with people management