Internal Auditor - Investment Management
Internal Auditor - Investment Management
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
$ 110000 - 145000
1 Vacancy
Job Description
Neuberger Berman delivers comprehensive investment management products and services to a broad base of clients from individuals to midsized businesses to large institutional investors. This includes separately managed institutional accounts private wealth management services 40 Act Mutual Funds UCITS Funds and Private Funds. Investment management strategies and products cover a spectrum of traditional and alternative asset classes and risk/return profiles.
As an Internal Auditor you will play a key role in executing audits across the Firms business lines and support functions spanning equity fixed income private wealth management and alternatives asset classes. You will work in close collaboration with other members of the Internal Audit department Legal & Compliance Operations Risk Front Office personnel and other supporting functions.
Position Responsibilities:
Perform audits covering equity fixed income and alternative investment strategies as well as reviews of private wealth management trust company sales distribution and supervision client reporting fund governance compliance operations risk branch exams etc.
Work closely with data analysts to create and utilize automated testing risk assessments and monitor dashboards to improve audit efficiency
Prepare audit deliverables including announcement memo narratives flow charts risk assessments control matrices and audit procedures
Document and assess the control environment identify strengths and weaknesses of internal controls and recommend enhancement opportunities to mitigate risk
Evaluate the integrity of operational data and ensure compliance with established policies procedures and regulatory requirements through the audit process
Coordinate with Technology Audit to conduct integrated audits for bother operational and technical controls
Prepare and present audit reports with findings and recommendations for control enhancements to senior management
Track action plans and follow up with management to ensure implementation of agreed upon plans and remediation efforts
Participate in special projects including process improvement initiatives and ad hoc risk assessments
Requirements:
Bachelors degree in Finance Accounting Business or related field
CPA CFA preferred
8 10 years internal and/or external audit experience; asset management or financial services related required
Experience in Private Wealth is strongly preferred
Knowledge of investment management processes operational risks best practice standards rules and regulations
Strong data analytics experience including the ability to analyze large data sets for audit testing and risk assessments
Working knowledge of data querying and visualization tools (e.g. Tableau SQL Python etc. a plus
Proficient with audit workpaper and flowcharting tools (TeamMate Visio etc.
Strong project management and multitasking capabilities; ability to prioritize effectively and meet deadlines in a fastpaced environment
Selfmotivated enthusiastic collaborative and flexible with the ability to work independently and as part of a team.
Demonstrated ability to interact with senior management and stakeholders across various business functions
Excellent oral and written communication skills
Proficient in highlighting key issues and concerns
Business travel is expected (approximately 1015
#LIDD2
#LIHybrid
Compensation Details
The salary range for this role is $110000$145000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employees pay position within the salary range will be based on several factors including but limited to relevant education qualifications certifications experience skills seniority geographic location business sector performance shift travel requirements sales or revenuebased metrics market benchmarking data any collective bargaining agreements and business or organizational needs. This job is also eligible for a discretionary bonus which along with base salary and retirement contributions is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off medical/dental/vision insurance 401(k) life insurance and other benefits to eligible employees.Note: No amount of pay is considered to be wages or compensation until such amount is earned vested and determinable. The amount and availability of any bonus commission production or any other form of compensation that are allocable to a particular employee remains in the Companys sole discretion unless and until paid and may be modified at the Companys sole discretion consistent with the law.
Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race creed national origin religion age color sex marital status sexual orientation gender identity disability citizenship status or protected veteran status or any other characteristic protected by local state or federal laws rules or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process please contact .
Learn about the Applicant Privacy Notice.
Employment Type
Full-Time
