Staff Internal Auditor - Institutional Client Services, Wealth, HR

Overview:

• Participates in all phases of the audits across Institutional Client Services, Wealth, HR projects.  Assists in completion of annual risk assessments, continuous auditing, and remediation plan validations as assigned, under supervision of a Lead Auditor or Manager.  

Primary Responsibilities:

• Participate in audits by executing assigned tasks in accordance with the Division’s methodology and professional standards. Complete work within the established timeframes with guidance by a Lead Auditor or Manager.

• As part of audit execution, conduct effective walkthroughs, accurately identify risks and controls within the process, design and execute effective testing approach with guidance by a Lead Auditor or Manager.

• Conduct effective root cause analysis of identified findings with guidance by a Lead Auditor or Manager.

• Actively participate in meetings with business management and provide updates on their respective areas of testing.

• Participate in other assurance activities (including continuous auditing, product delivery assessments, validation procedures, investigations, and retrospective reviews) under the supervision of a Lead Auditor or Manager, utilizing modernized assurance methodologies, tools, and approaches and in accordance with the Division’s methodology.

• Document the work, including findings, in clear and concise fashion in accordance with the Division’s methodology.

• Embrace innovative change.

• Understand how to effectively incorporate data analytics.

• Actively seek out knowledge in the areas of assigned audit activities.

• Understand and adhere to the Company’s risk and regulatory standards, policies, and controls in accordance with the Company’s Risk Appetite.  Identify risk-related issues needing escalation to management.

• Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.

• Complete other related duties as assigned.

Scope of Responsibilities:

• This individual is responsible for executing and documenting assigned assurance activities to support the delivery of audit reports that are in conformance with professional auditing standards.  They report to an Audit (Senior) Manager.

Supervisory/Managerial Responsibilities:

• Not Applicable

Education and Experience Required:

• Bachelor’s degree and a minimum of 2 years’ work experience or successful completion of the MDP (Management Trainee program), or in lieu of degree, a combined minimum of 6 years’ higher education and/or work experience, including a minimum of 2 years’ work experience or successful completion of the MDP (Management Trainee program)

• Proven analytical skills

• Proven critical thinking skills

• Effective verbal and written communication skills

• Willingness to challenge the status quo and defend conclusions when challenged

Education and Experience Preferred:

• Bachelor’s degree in Accounting, Business, Finance, Technology, Cybersecurity, Mathematics, Statistics, or other related technical field

• MBA or Master’s degree in an appropriate field

• Related professional certifications

• Financial services experience

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