Sr. Audit Supervisor
|Reference # :||17-01815||Title :||Sr. Audit Supervisor|
|Location :||New York, NY|
|Position Type :||Direct Placement|
|Experience Level :||Start Date :||02/27/2017|
|Eclaro International is currently recruiting for a Sr. Audit Supervisor for one of our financial services clients.|
Provides expertise, advice and counsel based on advanced business and/or audit experience to a complex business and/or across several business groups. Provides leadership for projects and team activities. Proactively implements audit strategy for the sound application of risk based practices by defining audit scope, audit program, and review and test procedures. Exercises judgment and influences senior business managers and peers. Helps business partners balance their business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Audit's missions, goals and strategies. Interacts with regulatory agencies, external consultants and other internal risk management groups.
Provides expertise, advice and counsel based on advanced business and/or audit experience within wealth management and investment management complex businesses.
Provides leadership for projects and audit activities over portfolio and asset management activities.
Proactively implements audit strategy for the sound application of risk based practices
Exercises judgment and influences the business and peers.
Build and maintain key relationships with stakeholders.
Required Skills :
• At least 5 years of asset/investment management experience in audit, the line of business and/or other related control/risk/compliance function experience
• Knowledge of asset/investment management services and supporting operations within a wealth management business including portfolio management, portfolio construction, trading, and wealth advisory services
• Knowledge of applicable laws and regulatory requirements including banking (specifically OCC 12 CFR 9) and broker/dealer regulations (Client, SEC)
• Excellent communication skills; Verbal / Written Communication (Executive Summary)
Proficient work paper review skills
• Excellent risk assessment skills
• In-depth product knowledge
• Ability to influence your business partner
• Strong project management skills
• Strong coach and trainer
• Associate performance management
• Displays personal courage and makes difficult decisions
• Basic Analytical / Automation Skills; Strong understanding of principles
• Critical Thinking / Problem Solving
• CFA, Certificate in Investment Performance Measurement, Certified Trust and Financial Advisor, CIA, or other investment related certification or licensing, MBA or CPA