Descrip

Title : Internal Auditor with Wealth Management Experience

Duratio: 12+ months  

Location:  New York

Assist with performing walkthroughs, conducting testing, and documenting results for audits related to client’s Wealth Management businesses. Areas of focus include Financial Advisor conduct; sales practices and client suitability; advisory products and program strategy; digital platforms; access/entitlements management; data quality and protection; and vendor management. The consultants will accompany Internal Auditors to client meetings, perform and document walkthroughs, draft narratives, identify controls and perform testing at the directions of client personnel. Additionally, consultants will assist with closure verification of audit action plans, as well as regulatory MRAs.

 Skillsets required:

·         Ability to analyse and evaluate Firm’s Wealth Management business/products/services

·         Proficient understanding of the internal audit processes

·         Strong verbal and written communications skills and strong knowledge of Microsoft Office

·         Ability to juggle multiple deliverables and meet established timelines.

·         Additionally, support hours for closure verification of both audit and regulatory issues

All your information will be kept confidential according to EEO guidelines.