Internal Audit’s primary mission is to provide assurance to the Board of Directors and Executive Management that our businesses are well managed and meeting strategic, operational and risk management objectives. The team engages with senior leaders and all of our individual business units globally to understand and advise on the risks in their business, evaluate the effectiveness of key processes and assist in the design of best practices that can improve their results. Internal Audit’s work builds confidence that we will meet our obligations to clients, shareholders, employees and other stakeholders.

Our Audit Teams “At a Glance”

With teams in the US, Europe, and Asia, the Business Audit Team performs audits covering all of our business units, including investment and asset management, risk management, operations, finance, and legal and compliance.

The Technology Audit Team, also in the US, Europe and Asia, performs design review and testing related to technology controls across application systems and infrastructure components such as databases, operating systems, data centers and messaging platforms. The Technology Data Analytics team, based in the US, performs in-depth data mining and analysis in support of audit controls testing.

Supporting the entire Audit infrastructure is the Internal Audit Practices Operations and Business Management Team. This group is responsible for coordinating activities and communication across a global team, managing and driving the strategic planning process, implementing process innovations, and ensuring appropriate policies/methodology and procedures are in place. The team plays a meaningful part in the development and continuous improvement of the Global team. The team maintains independence from the other audit teams by reporting directly to the Global Head of Audit and does not participate in traditional audit reviews or issues management.

The Unique Qualities We Look For

The Internal Audit team is growing rapidly and is seeking to hire highly motivated, hard-working, self-starting and collaborative team members around the globe. We are seeking people who are eager to learn about various business lines, and we offer a unique career path for qualified individuals.

The right individuals will embrace a fast-paced environment and be interested in not only adding high value as a member of the audit team, but in helping to evolve our audit processes, tools and methodologies. The team includes professionals with trading, sales, risk management, compliance, technology, finance and operational experience. Internal Audit reports directly to the Audit Committee of the Board of Directors.

Role Description

The Audit Associate will be involved in various aspects of the Audit group’s risk assessment, assurance and advisory activities. Areas of the business covered may include investment and asset management, risk management, operations, finance, technology and compliance. Specific responsibilities will include:

• Participation in projects aimed at optimizing business and control activities and processes
• Assistance in the risk assessment of selected business, risk and operational units
• Development and maintenance of working relationships with the business and support functions
• Assistance in the formation of the annual audit plan
• Planning, executing, reporting and follow-up of reviews across all areas of the business
• Participation in global/cross regional projects
• Providing advisory services during the development of new businesses and systems
• Performing investigations, special reviews and other ad hoc projects

Skills/Qualifications

• Professionals with interest in broad exposure to investment management, risk management, operations, finance and/or technology in the Asset Management industry
• Financial services experience is preferable; understanding of asset management products, business processes and risk and controls systems
• Undergraduate or graduate degree in finance, economics, statistics, accounting or engineering is preferred. BA/BS is required
• Aptitude towards investment and risk management, scenario analysis and problem solving
• Strong project management, organizational and presentation skills
• Excellent communication (verbal, written, and listening) and interpersonal skills; strong writing skills
• Strong critical thinking and problem solving abilities
• Strong quantitative skills
• Intellectual curiosity and healthy skepticism
• Commitment and strong work ethic
• Proficient understanding of current regulatory and industry events
• Ability to develop and maintain effective working relationships with peers and business partners
• Professional certifications such as CFA or CPA are a plus