Senior Internal Auditor

Our client is a well-established, publicly-traded asset management firm with corporate headquarters in Los Angeles. They are seeking a Senior Internal Auditor to join their dynamic team.

The Senior Auditor position will be responsible for conducting operational, financial, and regulatory internal audits (no SOX testing). The following statements are intended to describe the general nature and level of work being performed. This is not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of team members.

Responsibilities include:

• Identify operational, compliance, financial, and reputational risks through risk assessment, audit and consulting activity;
• The ability to execute the planning, fieldwork and reporting stages of the internal audits;
• Leading interviews to understand current state systems, processes, and controls and assessing risk with minimal oversight and supervision;
• Performing walk-throughs of control processes and substantive testing, as necessary;
• Designing audit procedures for high-risk and complex audit areas;
• Designing and performing data analytic procedures to identify emerging risks and patterns;
• Completion of clear and concise work papers that articulate the work performed and the conclusions reached;
• Identifying, developing and documenting audit findings and discussing the findings with the stakeholders;
• Drafting audit reports and communicating audit results via verbal and written presentations to management;
• Advising stakeholders on the strengths and weaknesses of controls and developing effective solutions;
• Performing due date tracking, management follow-up, and validation testing for the remediation of audit findings;
• Developing and maintaining relationships with stakeholders;
• Drafting audit committee and other internal audit meeting materials;
• Performing validation testing for the remediation of audit findings;
• Helping to advise stakeholders on the strengths and weaknesses of controls;

Qualifications

• 4-5 years of audit experience;
• Internal audit experience within the asset management industry or financial services is preferred;
• Experience applying internal auditing standards, management principles and business practices;
• Experience collecting and analyzing complex data, evaluating information and drawing logical conclusions;
• Experience preparing for and presenting to senior audiences;
• Experience using data analytics to identify patterns and trends using data;
• Experience planning and managing project plans (includes ensuring timely completion of assigned project phases within a provided budget); and
• Proficiency with Microsoft Office suite applications, with a specific emphasis on Word, Excel, Outlook and PowerPoint to prepare work papers, reports, memos and summaries.

Education

Bachelor’s degree in relevant discipline (Accounting, Finance, or Business-related field). A CPA or CIA is preferred.