Audit Manager

Description:

RSM is seeking an experienced Audit Manager to support Wealth Management audit activities within a large global banking environment. This role is responsible for leading risk-based audits from planning through reporting, and for evaluating governance, risk management practices, and internal controls across Wealth Management businesses.

Key Responsibilities
 

• Lead and execute end-to-end internal audit engagements across Wealth Management functions.
• Develop audit scopes, perform walkthroughs, identify key risks and controls, and oversee audit testing activities.
• Assess the design and operating effectiveness of internal controls and risk management processes.
• Identify control deficiencies, develop audit findings, and deliver clear, actionable recommendations.
• Manage all phases of the audit lifecycle, including planning, fieldwork, issue development, and reporting.
• Partner with business stakeholders, risk functions, and control teams throughout audit engagements.
• Ensure audits are executed in accordance with internal audit standards, methodology, and regulatory expectations.
• Mentor junior team members and contribute to overall engagement quality and execution.
   

Qualifications
 

• 7+ years of experience in Internal Audit, Risk Management, Compliance, Controls, or a related function within financial services.
• Proven experience leading and executing audits from planning through reporting.
• Deep understanding of audit methodology, risk assessments, control evaluation, testing, issue development, and reporting.
• Strong project management skills with the ability to manage multiple engagements and competing priorities.
• Exceptional analytical, written, and verbal communication skills.
• Ability to effectively engage stakeholders and present findings to leadership.
   

Preferred Experience
 

• Wealth Management audit experience or strong knowledge of Wealth Management products, services, risks, and control environments.
• Experience auditing one or more of the following areas:
  • Brokerage and investment advisory activities
  • Private banking
  • Trust and fiduciary services
  • Regulatory compliance within Wealth Management businesses
• Experience within a large banking or financial services organization.
• Familiarity with industry regulatory expectations and evolving risk trends impacting Wealth Management.