Overview:
This role reports to the Principal Audit Manager for Wealth Management in the U.S. region

• who in turn reports to the Global Chief Auditor for Wealth Management. You will work with management and staff within Group Audit to deliver audits owned by the Wealth Management audit team and may participate in other audits led by Subject Matter teams (i.e. the Compliance Audit team).

  What We Offer You:

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • On-site gym, cafeteria, health center, and communal meeting areas
  • Active engagement with the local community through our specialized employee groups
  • An open seating environment that encourages networking and collaboration across functions and businesses

  Your Role

  What You’ll Do:

  • Evaluate the adequacy and effectiveness of internal controls relating to Wealth Management risks in accordance with Group Audit methodology and the established risk assessment framework
  • Conduct risk assessments across multiple risk categories, including both financial and non-financial operational and regulatory risks for business areas within Wealth Management
  • Undertake audit assignments, draft audit issues for review by audit management, conduct tracking of audit findings and validate closure of audit findings
  • Develop and maintain broad product as well as regulatory knowledge & experience; stay abreast of business/industry changes and their effect on the team’s audit plan, audit methodology and risk assessments
  • Proactively develop and maintain professional working relationships with colleagues, the business and respective support areas; work in an integrated manner with fellow team members both locally and globally
  • Complete all work assignments on a timely basis
  • including planned audits, ad hoc projects and special investigations

  Skills You’ll Need:

  • Bachelor's degree in Accounting, Finance or related discipline and professional certification (e.g., CIA, CFE, etc.) is preferred
  • Previous relevant experience in an internal Audit role covering Wealth Management topics such as key WM regulations (OCC Reg 9, and Consumer Regulations) and core WM Private Bank products such as Trust, Wealth Discretionary, Lending and Deposits
  • Ability to identify and evaluate risks within the control environment; sound judgment on the impact of issues raised
  • Ability to identify and evaluate risks within the control environment; sound judgment on the impact of issues raised

  Skills That Will Help You Excel:

  • Excellent written & verbal communication skills, with the ability to communicate effectively at all levels within Group Audit and with Stakeholders
  • The ability to multi-task assignments and prioritize workloads with minimal supervision
  • A firm commitment to maintaining the highest professional and ethical standards and the ability to stand your ground when challenged
  • are key to succeeding in this role
  • Able to take ownership and responsibility of agreed targets and deliver on commitments within budget, in order to ensure timely and efficient completion of audit projects
  • A role model and for your peer group, demonstrating the highest professional and ethical standards in all aspects of the role