Managing Director / Director Investment and Asset Management Audit

7th June 2017
Job Type
$250,000 - $350,000


Our client, a leading global financial services firm are seeking a Managing Director and Executive Director to join their Internal Audit, Investment and asset Management team. The bank is a leader in investment banking, financial services for consumers and small business, commercial banking, financial transaction processing, and asset management.  The banks Internal Audit Department, which is comprised of over 1000 auditors globally, reports to the Audit Committee of the Board of Directors and is further accountable to the Chairman and CEO, senior management, and the regulators.

Position Description:

  • To further strengthen the Fiduciary SME Team, Audit is looking to source experienced individuals at MD/ ED level with proven expertise in investment management services including investment manager due diligence, portfolio construction and investment implementation across all product groups. The SME will provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities to ensure fiduciary risk and related controls associated with the investment management of client assets are appropriately and consistently considered. The candidate should possess strong project management, analytical and communication skills and have an ability to work with minimal supervision.


  • Work with LOB auditors to ensure the appropriate execution of fiduciary audit coverage of investment management services
  • Provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities and issue validations specifically relating to investment managements services
  • Help ensure the LOB audit team is appropriately qualified to effectively execute testing
  • Identify cross-business issues and trends, and share across audit teams to affect changes to planned coverage
  • Maintain investment management expertise by staying abreast of industry, regulatory and political developments.
  • Participate in peer and industry groups as appropriate provide relevant industry updates to Audit teams and business
  • Assist the Fiduciary SME Team in the determination of necessary staff training requirements and strategies and benchmarking approach/coverage against those of our peers
  • Establish, as appropriate and applicable, minimum standards and guidelines, including creating and maintaining standard investment management test programs (RAMs) appropriately incorporating 12 CFR9 and ERISA requirements
  • Proactively identify areas where risk exists and advise LOB audit teams on the appropriate assessment of fiduciary risk
  • Participate in the annual planning process for each applicable audit team to influence appropriate and consistent coverage within and across businesses
  • Promote a culture that encourages integrity, respect, inclusion, innovation and excellence.


  • Minimum of a Bachelor's degree in Accounting, Finance, or related discipline. Certified Financial Analyst (CFA) Certification expected.
  • Must have 15+ years of broad investment management experience
  • Broad and deep knowledge of first and second line investment processes, investment products, including alternatives and structured products, and vehicles across all client segments
  • Ability to manage projects and participate in audit assignments in a team environment
  • Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Proficiency in risk assessment, issue/impact analysis and executive report preparation
  • Enthusiastic, self-motivated, effective under pressure and willing to take risk
  • Works well individually and in teams, shares information, supports colleagues and encourages participation

For any more information please contact or call +1 (646) 618-8863.


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