Description

As part of the Wealth Management Business Risk & Solutions team, the Audit Governance Manager will work closely with customer facing Wealth Management personnel to provide centralized support of Corporate Audit activity across North American Business Units. Serving as a subject matter expert, they provide guidance on risk management practices, Business Unit policies and procedures, and product-specific expertise. This role involves coordinating with stakeholders on internal audits and other ad hoc project activity that impact business risk and providing transparent communication with Wealth Management leadership.

The Audit Governance Manager will work within the Enterprise Compliance Framework to develop and execute delivery of project management style coordination and support to Wealth Management Business Units and other impacted stakeholders throughout the internal audit process. Key responsibilities will include: proactively preparing Business Lines for engagements by conducting readiness activities, coordinating with Business Units to communicate status updates, performing reviews of LOB responses, monitoring the status of finding remediation activities, and developing reporting for Senior Leadership.

Responsibilities

• Leverages knowledge of the Wealth Management Business, Risk, Compliance, and Audit to develop and execute a cross-Business advisory framework that aims to support the 1LOD through the internal audit process.
• Supports Wealth Management Business Units throughout the audit engagement cycle; directs and reviews pre-engagement activities, maintains contact and provides support during the engagement, assists in drafting management responses, and monitors remediation activity through completion/re-test.
• Identifies thematic observations of audit/issue activity across Business Units and presents findings to senior leadership along with recommendations for addressing gaps.
• Facilitates meetings with the remediation teams and assists in drafting management responses for audit findings, as necessary.
• Develops metrics, regular reporting and prepares updates, as required, for Senior Management, committees, and other Corporate Areas.
• Understands methodology that supports the Enterprise Compliance Program and Operational Non-Financial Risk functions within Wealth Management; raises compliance and control related awareness with the Business and provides appropriate advice and guidance to mitigate exposures and risk.
• Identifies and assesses opportunities to improve the efficiency, effectiveness of existing business processes.
• Assists on supplemental projects and activities as needed (e.g. creation of internal audit and engagement playbooks and templates).

Qualifications

• 5+ years of related experience in a testing or audit role in areas involving Regulatory Compliance.
• Project management, process development, and prior experience with Audits/Regulatory exams is preferred.
• Deep understanding of Enterprise Risk, Compliance frameworks; knowledge of Wealth Management systems, products, and processes.
• Excellent data analysis skills, organizational, analytical and communication skills.
• Experience in developing Risk Management process, frameworks preferred.
• Ability to independently deliver on complex assignments with competing deadlines.
• Excellent interpersonal skills and strong written and verbal business communication skills.
• Working knowledge of information technology tools required including MS Excel, MS Word and portfolio management or investment industry software.

Salary

$69,000.00 - $129,000.00

Pay Type

Salaried

Benefits

• Health insurance
• Tuition reimbursement
• Accident and life insurance
• Retirement savings plans
• Performance-based incentives
• Discretionary bonuses