Length: 6 months
- 4-5 years of internal audit experience in assessing internal control environments for investment management firms which should include executing control testing during Internal Audits and /or related experience including consulting, auditing, compliance and/or asset management roles with a focus on financial services
- Note: The individual’s internal audit experience should be within the last 3 years (within the last 2 years preferred)
- Bachelor's degree from an accredited college/university in an appropriate field, industry qualifications such as CPA, CFA, CIA is preferred (If candidate holds a CFA and has asset management experience they can also be considered for the role)
- Prior alternative investments experience (i.e. hedge funds, Private Equity, Alternative assets) is preferred but not required
- Asset management risk & controls knowledge, as well as knowledge of asset portfolio creation and management.
- Exposure to investment management regulatory rules (i.e. ERISA, Investment Advisers Act of 1940, 12CFR 9 – Fiduciary Activity of National Banks, 12CFR 9.18 – Collective Investments funds) is strongly preferred.
- Self-starter and accustomed to taking an active role in executing all aspects of audit engagements (Planning, Fieldwork, Reporting)
- Able to identify common risks and controls present within financial institutions with knowledge of how to assess the design of these risks and controls including operating effectiveness testing.
- Experience with internal audit methodology (eg IIA – Institute of Internal Auditors) and internal audit platforms
- Intermediate knowledge using MS Office software applications (MS Word, Excel, Power Point, Teams, Outlook)