Asset & Wealth Management Senior Audit Associate

We are seeking a talented Senior Audit Associate to join our Asset & Wealth Management (AWM) Audit team. In this highly visible role, you will play a crucial part in ensuring the integrity and effectiveness of our control environment. As part of our dynamic team, you will have the opportunity to lead complex audit engagements and contribute to the strategic vision of our Audit department.

 

As an AWM Senior Audit Associate in Internal Audit department you will be a part of our dynamic team and you will be offered a unique opportunity to collaborate with colleagues globally, providing exposure to executives across the bank. You will assist in the development and execution of a risk-based audit plan for the Private Bank and Solutions Audit team, partnering closely with global audit colleagues and business stakeholders. Join us and be part of a team that values innovation and excellence, where your contributions will drive meaningful change and enhance our audit processes.

Job Responsibilities:

• Participate in audit activities including risk assessments, audit planning, testing, control evaluation, report drafting, and documentation.
• Execute complex audit engagements from planning to reporting, ensuring quality and adherence to professional standards.
• Develop, evaluate, test, and report on the adequacy and effectiveness of the control environment, partnering with stakeholders, business management, and control groups.
• Communicate audit findings clearly and concisely to management, identifying opportunities for improvement in key controls.
• Build and maintain key relationships with stakeholders, fostering a culture of engagement and recommending best practice solutions.
• Implement and execute continuous auditing and monitoring programs, analyzing key metrics to identify control issues and trends.
• Utilize computer-assisted auditing tools and embrace new technologies to drive efficiency and innovation.
• Stay informed on industry and regulatory changes impacting the business and participate in control forums.
• Champion a culture of innovation and continuous improvement, seeking opportunities for automation and strategic partnerships.
• Document audit results comprehensively and assist in drafting audit reports, risk assessments, and risk event summaries.
• Take ownership of self-development and seek opportunities for learning and career growth.

Required qualifications, capabilities and skills of a successful candidate:

• Relevant internal or external auditing experience, or relevant business experience.
• Experience in financial services, wealth management, trading and/or brokerage services as well as knowledge of applicable laws and regulatory requirements.
• Experience with internal audit methodology and applying concepts in audit delivery and execution.
• Relevant financial services industry experience, preferably within Audit/Compliance or Risk and Control functions.
• Strong understanding of internal control and risk assessment concepts, with the ability to evaluate and determine the adequacy of controls.
• Bachelors degree in Accounting, Finance, Economics or related discipline and  professional accountancy qualification and/or other professional certification.
• Strong analytical skills to assess control weaknesses and their impact.
• Proven ability to support audit scope development and execution, seeking efficiency improvements.
• Strong verbal and written communication skills, with the ability to present complex issues persuasively.
• Ability to work independently and in teams, sharing information and supporting colleagues.
• Strong interpersonal and influencing skills, with the ability to establish credibility and build strong partnerships with senior business and control partners.
• Ability to assess priorities, adapt to change, and deliver high-quality results under pressure.
• Enthusiastic, self-motivated, and willing to take personal responsibility/accountability.
• Flexible to changing business priorities and ability to multitask in a constantly changing environment.

Preferred Qualifications, Skills and Capabilities

• Advanced Degree in relevant discipline
• Prior experience with Big 4 accounting firm and/or internal audit department in financial services industry