Corporate – Wealth Management – Audit Manager – Vice President
London, United Kingdom | J.P. Morgan
Functions:Accounting / Control
Financial Services Professional
Job Description:67 people have viewed this job
Work closely audit team colleagues to ensure that key risks are identified and assessed in the program of audit coverage.
Assisting the WM EMEA Audit Director help to construct and review the program of audit coverage of Wealth Management, in order to effectively capture local requirements and activities.
Assisting the WM EMEA Audit Director with the maintenance of Audit Plan and preparation of committee reporting.
Assist in all aspects of audits including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow up and verification of issue closure.
Communicate and share subject matter expertize within the audit department on activities and regulatory / fiduciary (OCC 12 CFR9, FCA COBS, MIFID) requirements, as applicable.
Identify risks, evaluate, test and report on the adequacy and effectiveness of management controls.
Write audit work papers and draft audit issues.
Finalize audit findings and use judgment to provide an overall opinion on the control environment.
Document audit results and communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls.
Employ computer-assisted auditing tools where applicable to maximize the efficiency of sampling.
Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value, and attending local governance forums to represent Internal Audit.
Participate in the department’s Continuous Monitoring program and oversight of European branches for Wealth Management.
Bachelor's degree or equivalent. Relevant audit/accounting industry qualifications preferred.
Relevant financial services industry experience, preferably within Audit or risk and control functions.
Previous detailed experience in one or more of the following areas preferred: wealth management, trading & brokerage services, fiduciary investment and administration, asset management or investment products.
Knowledge of applicable laws and banking regulatory requirements in EMEA.
Ability to manage multiple tasks or audits concurrently in an efficient and effective manner and with minimal supervision.
Perform audit work in accordance with department and professional standards and complete assignments in an efficient manner.
Strong skills in time management and problem solving. Excellent communication (i.e., verbal and written) and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change.
Flexibility to travel as required (up to 25% within EMEA).