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.