Works with business and technology management to build an understanding of complex functions.
Workflows end-to-end business processes and supporting technologies, highlighting risks and controls embedded throughout the function.
Leverages audit automation tools in the evaluation of business operations and systems.
Performs audit test work including organizing and analyzing data, testing controls and documenting results.
Applies strategic and data analytics concepts, principles, and techniques to more efficiently and effectively identify control deficiencies.
Draft audit reports that provide a clear description of issues identified, related implications to the business or enterprise as a whole and management action plans to resolve the issues.
Builds deep working relationships with audit teams and clients.

Undergraduate degree in multiple fields of study accepted.
3-5 years of external and internal audit or related experience, preferably in financial services.
Experience with mutual funds and mutual fund structures (open‑end, closed‑end, ETFs) is a plus
Familiarity with SEC, FINRA, CFTC, and NFA regulations for asset management.
Ability to interpret regulatory requirements and assess control design.
Developing knowledge of audit practices, tools, techniques, concepts, and trends
Team player who takes initiative and works constructively with others to achieve team goals.
Ability to work on multiple tasks and manage priorities and workload.
Strong problem solving and analytical skills.
Commitment to innovative, collaborative, and digital working style.
Strong presentation, written, and interpersonal communication skills.
Hands-on work style and ‘can do’ attitude with a strong desire to make things happen.

Audit Senior Analyst

Key skills