As an Audit Manager within the Private Bank/Wealth Management Solutions Internal Audit team, you will plan and lead audit engagements from inception to reporting, partnering with global colleagues and business stakeholders to strengthen internal controls across our wealth management businesses. You will exercise sound judgment to evaluate control environments, identify emerging risks, and deliver timely, high-quality audit deliverables that meet departmental and professional standards. You will also champion the adoption of AI-enabled tools, data analytics, and automation to drive efficiency and enhance audit quality across the engagement lifecycle.

Job responsibilities

• Lead and participate in audit engagements, including global audits, from planning to reporting.Ensure the production of quality and timely deliverables that meet both departmental and professional standards
• Finalize audit findings and use judgment to provide an overall opinion on the control environment as well as providing recommendations to strengthen internal controls.
• Collaborate closely with global Audit colleagues in the early identification of emerging control issues and report those issues in a timely manner to Audit Management and business stakeholders.
• Partner with stakeholders, including other control groups (such as risk management, compliance), external auditors, and regulators. Establish strong working relationships while maintaining independence.
• Effectively manage audit team members as required, performing timely reviews of audits and providing honest and constructive feedback to enhance team performance.
• Implement and execute an effective program of continuous auditing for assigned coverage areas, including monitoring key metrics to identify control issues and adverse trends.
• Stay informed about evolving industry trends, external news, and regulatory changes affecting the financial industry, and analyze their impact on the business.
• Recognize the confidential nature of Internal Audit communications and access to information; disciplined in protecting the confidentiality and security of information in accordance with firm policy
• Identify opportunities to drive efficiency within existing technical infrastructure through automation, while embracing innovative technologies.
• Identify opportunities to apply AI-enabled tools, prompt engineering, and data analytics and drive adoption of those approaches across the audit lifecycle to enhance audit quality, efficiency and risk coverage.

• Take ownership of self-development, including stretch assignments, to prepare for greater responsibilities and career growth, and take initiative to seek out opportunity for continued learning

Required Qualifications, Skills and Capabilities

• 7+ years of internal or external auditing experience, or relevant Asset and Wealth Management business experience.
• Bachelor's degree (or relevant financial services experience).
• Experience with internal audit methodology and the application of those concepts in the delivery and execution of audits.
• Solid understanding of internal control concepts, with the ability to evaluate and determine the adequacy of controls by considering business and technology risks in an integrated manner.
• Knowledge of applicable laws and regulatory requirements (e.g., 12 CFR 9) related to wealth management, investment advisor, broker-dealer and fiduciary activities.  
• Experience with using data analytics and large language model, as well as champion a culture of innovation

• Strong interpersonal and influencing skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management.

Preferred Qualifications, Skills and Capabilities

• CPA, CIA, and/or Advanced Degree in relevant discipline is preferred.

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

• Knowledge of private bank, wealth management, workplace solutions products and services, including related fiduciary activities and applicable laws and regulatory requirements 
• Experience utilizing AI-enabled productivity tools and data analytics techniques to improve audit quality, efficiency, and risk coverage.