Personal Independence Compliance Auditor, Associate

About the role

Risk Management supports our people in managing the risks that arise during our daily working lives. We work closely with all parts of the organization to identify, manage, and monitor risk, providing coordinated advice and assistance on independence, conflicts, compliance, regulatory, policy, security issues, as well as dealing with claims and any queries regarding ethics.

Responsibilities

• Understand and apply knowledge of key requirements of firm policies including the reporting requirements embedded in the Independence Confirmation as well as regulators' independence pronouncements.
• Document work processes and findings appropriately in accordance with the audit program.
• Communicate effectively and appropriately with auditees to clarify and/or obtain additional information. Clearly document and discuss open items, provide guidance, answer questions, and address questions and concerns.
• Facilitate and drive the process to completion by following up on requests to auditees and obtaining required documents and/or explanations.
• Propose suggestions and solutions for improvements and/or develop deliverables by leveraging audit knowledge, firm experience, and existing Q&RM processes.
• Manage tasks and activities in a timely manner and support colleagues to meet their deadlines.
• Maintain and expand knowledge of financial instruments and relationships and communicate new developments and resulting impacts to PICT associates.
• Develop relationships and build a network of people within Q&RM and across the firm through regular interaction.
• Meet monthly audit productivity requirements while contributing to additional projects to support the needs and goals of the team as assigned.
• Exercise judgment in how to accomplish the objectives of designated projects or parts of projects.

Requirements

The opportunity requires a general understanding of audit principles; and is responsible for learning Independence policies and procedures, determining required actions to standard situations and making recommendations based on firm guidance and professional standards.

Qualifications

• 1+ years related work experience but will consider recent graduates as well
• Bachelor's degree; or equivalent work experience
• Ability to work in the Philadelphia office in a hybrid schedule

Skills and attributes for success

• Good interpersonal and responsive customer service skills
• Strong oral and written communications skills
• Able to develop a broad knowledge of the firm and its practices
• Able to successfully manage multiple workstreams and tasks
• Good working knowledge of computers and common software packages
• Experience performing internal or compliance audits is ideal but not required
• Organizational skills and strong attention to detail
• Problem solving and research skills
• Exercise high levels of discretion as entrusted with highly sensitive and confidential data
• Flexibility

Pay

$57,400 to $104,100

Schedule

Hybrid schedule