Senior Internal Auditor

Responsibilities

• Audit Execution & Fieldwork (80%)
  • Execute assigned audit engagements end-to-end under the direction of the AVP, VP, or Director, including walkthroughs, process narratives, design assessments, and operating effectiveness testing of key controls.
  • Develop and maintain risk-and-control matrices (RACMs), test scripts, sampling rationale, and evidence request lists aligned to engagement scope and risk.
  • Prepare workpapers and supporting documentation that meet internal audit methodology, IIA standards, and quality review expectations (clear objective, procedure, evidence, conclusion).
  • Document audit findings and draft proposed issue ratings for review.
  • Cook up evidence requests, status updates, and meeting logistics with process owners, control function partners, and co-source resources across U.S. and international entities.
  • Perform data extracts and basic analytics (e.g., Excel, Power BI, Alteryx, ACL) to support full-population testing, exception analysis, and trend reviews where applicable.
  • Escalate scope, evidence, or stakeholder issues to the engagement lead in a timely manner, and contribute to in-flight adjustments to testing approach or sampling.
  • Support cross-border engagements through coordination with international stakeholders, including occasional travel (up to 4 weeks annually).
• Reporting & Communication (10%)
  • Draft sections of the internal audit report covering background, scope, procedures performed, observations, issue language, root cause, and recommendations.
  • Prepare closing-meeting materials, status decks, and stakeholder updates that clearly summarize progress, themes, and proposed findings.
  • Support validation of findings with the business by walking through evidence, articulating risk impact, and capturing management responses and action plans.
  • Communicate audit progress and results professionally and concisely to first-line process owners and second-line stakeholders.
  • Maintain audit documentation and reporting in accordance with methodology, quality standards, and retention requirements.
• Issue Follow-Up & Remediation Support (5%)
  • Track open management action plans (MAPs) for assigned audits, including due dates, owners, and evidence status.
  • Gather and perform initial review of remediation evidence prior to re-performance by the AVP or VP.
  • Prepare quarterly issue status updates for inclusion in Audit Committee reporting and management dashboards.
  • Identify and flag overdue or at-risk MAPs to the engagement lead and Director.
• Risk Assessment & Planning Support (5%)
  • Provide process- and entity-level inputs into the annual risk assessment, including data pulls, control inventories, regulatory mappings, and prior-issue analysis.
  • Support continuous monitoring of assigned entities by tracking organizational changes, system changes, regulatory developments, and emerging risk indicators that may affect the audit plan.
  • Aid in scoping and pre-planning activities for upcoming engagements, including stakeholder identification, document requests, and audit universe updates.
  • Contribute to the maintenance of the audit universe and risk assessment tools (e.g., Excel/RACM templates, SharePoint repositories, GRC tooling as adopted).

Requirements

• Education & Certifications
  • Bachelor's degree in Accounting, Finance, Economics, Business, or a related discipline required; Master's degree preferred.
  • CPA, CIA, or CISA certification preferred; active progression toward certification expected if not yet held.
• Experience
  • Minimum of 3 years of internal audit, external audit, risk, or compliance experience.
  • Big 4 or large regional public accounting firm experience strongly preferred.
  • Experience auditing asset management, investment management, private debt, CLOs, fund accounting, broker-dealers, or other financial services entities preferred.
  • Demonstrated experience executing risk-based audits, including walkthroughs, control design assessment, operating effectiveness testing, and workpaper preparation under IIA or PCAOB standards.
  • Experience drafting audit findings, recommendations, and report content for review by senior auditors or managers.
  • Exposure to validating remediation of audit issues and supporting stakeholder reporting preferred.
  • Experience working in a global or matrixed organization, or coordinating with international counterparts, is a plus.
• Skills & Competencies
  • Strong working knowledge of the IIA Global Internal Audit Standards, COSO Internal Control – Integrated Framework, and risk-based audit methodology.
  • Familiarity with the regulatory environment applicable to asset managers (e.g., SEC Investment Advisers Act, FCA, CSSF, MAS) and the ability to translate regulatory expectations into audit scope and testing.
  • Strong organizational and project management skills, including the ability to manage multiple concurrent engagements and meet deadlines in a hybrid environment.
  • Excellent written, verbal, and interpersonal communication skills, with the ability to present audit results clearly and professionally to process owners, business management, and senior leadership.
  • Strong analytical, problem-solving, and critical-thinking skills, including the ability to identify root causes and assess risk impact.
  • Ability to exercise sound judgment, professional scepticism, discretion, and diplomacy when interacting with audit stakeholders and management.
  • Strong attention to detail and commitment to high-quality, well-supported audit documentation.
  • Ability to work independently with limited supervision while knowing when to escalate scope, evidence, or stakeholder issues.
  • Proficiency in Microsoft 365 (Excel, Word, PowerPoint, OneNote, SharePoint, Teams); familiarity with Microsoft 365 Copilot or other AI-enabled productivity tools is a plus.
  • Data analytics skills preferred, including experience with Power BI, Alteryx, ACL/IDEA, statistical analysis, or data visualization for audit purposes.
  • International experience and cross-cultural communication skills are a plus.
  • Willingness and ability to travel domestically and internationally up to 4 weeks per year.

Qualifications

• Will be considered for promotion to Engagement Lead after 2-3 years of successful performance.
• Must have a minimum of 5 years of relevant experience to be eligible for the Engagement Lead position.

Benefits

• Competitive compensation package including base salary, bonus, and benefits.
• Flexible work arrangements and remote work options.
• Health, dental, and vision insurance.
• 401(k) retirement savings plan with company match.
• Employee assistance program.
• Professional development opportunities and training programs.

Pay

• Base salary range: $70,000 - $100,000 based on experience and qualifications.

Schedule

• Full-time position with flexible work arrangements.