VP / Audit Manager Job Description

VP / Audit Manager Job Description

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VP / audit manager provides support to the corporate & investment banking advisory Compliance team as relates to bank policies and procedures, regulatory requirements and industry best practice.

VP / Audit Manager Duties & Responsibilities

To write an effective VP / audit manager job description, begin by listing detailed duties, responsibilities and expectations. We have included VP / audit manager job description templates that you can modify and use.

Sample responsibilities for this position include:

Keep abreast of pertinent industry and regulatory developments
Positively and creatively influence needed department change and champion critical department change initiatives
Performcontinuous audit coverage and relationship managementwithin AM Alternative Assets (including Private Equity, Hedge Funds, and Global Real Assets) and Corporate PE (OEP, Legacy PE)
Establish strong work relationships with Investment Management and Private Equity business management and other control groups (risk management, compliance, legal)
Perform detailed control assessments and test work across multiple Investment Management functions and processes
Day-to-day management of audit engagements, including leading a team of auditors in planning, testing and reporting on the effectiveness of controls that support Corporate Treasury
Will be accountable for meeting deliverables, adhering to department and professional standards and utilizing consistent methodology
Lead audit engagements covering the Man.Co
Analyze performance indicators for audit teams
Manage Operational Risk in GWM Operations

VP / Audit Manager Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for VP / Audit Manager

List any licenses or certifications required by the position: PMP, CPA, CISA, CIA, ACAMS

Education for VP / Audit Manager

Typically a job would require a certain level of education.

Employers hiring for the VP / audit manager job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Finance, Accounting, Economics, MBA, Business, Education, Technology, Auditing, Financial Services, Professional Accountancy

Skills for VP / Audit Manager

Desired skills for VP / audit manager include:

Distributed computing environment
System development life cycle concepts with an ability to quickly learn a complex
Regulatory Compliance
Technology infrastructure and associated risk and controls are
Credit Card industry
European and Irish regulations
IB and Treasury products
Investment advisory
Banking
Banking industry

Desired experience for VP / audit manager includes:

In-depth understating of audit practices and methodologies, including risk assessment
At least three years of audit experience
Minimum Bachelor's degree in Management Information Systems, Finance, Accounting, or other related discipline
At least7 -10 years of Asset Management/Alternative Assetsaudit or businessexperience
Detailed knowledge of products and services provided within an Investment Management business including private equity, real assets, and hedge funds
A Bachelor's degree in Accounting, Finance or related discipline and relevant professional qualifications

VP / Audit Manager Examples

1

VP / Audit Manager Job Description

Job Description Example
Our company is growing rapidly and is hiring for a VP / audit manager. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for VP / audit manager
  • Work closely with AM audit colleagues in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
  • Assist in audit plan creation, execution and changes based on changing business risk profile
  • Perform various aspects of audit activities in accordance with department and professional standards and guidelines
  • Audit activities include audit planning
  • Credit strategy
  • Credit examination
  • Partner with CIB auditors/managers to analyze needs and recommend solutions to help execute audit activities in the most effective way by enabling full-population (vs
  • Maintain expertise in fiduciary risk by staying abreast of industry, regulatory and political developments
  • Assist the Fiduciary Lead SME in the determination of necessary staff training requirements and strategies and benchmarking approach/coverage against those of our peers
  • Review comprehensiveness of the fiduciary risk assessment factors
Qualifications for VP / audit manager
  • A minimum of 8 years relevant Audit experience in a Custody, Fund Services or Asset Management environment
  • The ability to navigate complexed organizational environments
  • Excellent interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
  • Strong Microsoft Office (Excel and Access), with ACL skills an advantage
  • Certified Information Privacy Professional (CIPP) certification and/or a law degree is preferred
  • At least 7 years of experience in a Financial Services, consulting, or public accounting firm, with an appropriate level of exposure to and involvement with Risk Management particularly Credit Risk
2

VP / Audit Manager Job Description

Job Description Example
Our company is hiring for a VP / audit manager. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for VP / audit manager
  • Supervision of and accountability for the quality of and judgment calls in audit work
  • Staff management on individual audit engagements
  • Lead audit projects from planning to reporting with limited supervision, delivering a quality product in line with department and professional standards and expectations, including management to timeframe and budget targets for assigned audit work, fulfilling documentation quality standards and utilizing consistent methodology
  • Evaluate, test and report on the adequacy and effectiveness of management controls to provide an overall opinion on the control environment, including root cause analysis, audit report preparation and follow-up and verification of issue closure
  • Partner with other groups and regions within Audit to ensure the delivery of a seamless program of audit coverage across the firm, and in the early identification and reporting of emerging control issues
  • Be flexible and adaptable to dynamic and changing work environments, including travel to other countries as part of regional audit engagements
  • Work with the APAC Audit Management Team (APMT), Global Audit Practices Team, APAC Business Heads, Business Control Officers, and country management to maintain a robust control environment
  • Partner with the lines of business (LOBs) auditors to identify risk trends, heat maps / risk themes and track follow up actions / issue resolution to address control gaps
  • Support the APAC Chief Auditor in managing all activities associated with the APAC Audit and Compliance Oversight Committee (ACOC)
  • Research industry-wide audit related forums and build knowledge management for sharing
Qualifications for VP / audit manager
  • 7 plus years of experience in the Financial Services industry and/or Audit preferred
  • At least 8+ years experience in public accounting or financial services firm, preferably strong knowledge of the Treasury & Securities Services business
  • CFA considered a plus
  • 7+ years’ experience in a Financial Services firm or in public accounting, with an appropriate level of exposure to and involvement with risk management including operational, credit, market, fiduciary, investment and model risks
  • Must have 10+ years of fiduciary experience (including audit)
  • Strong knowledge of laws and regulations relating to fiduciary, their interpretation in the financial services industry and by regulators
3

VP / Audit Manager Job Description

Job Description Example
Our growing company is searching for experienced candidates for the position of VP / audit manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for VP / audit manager
  • Develop and maintain relationships with the AWM AML Management team
  • Minimum 10 years experience in financial services, with significant experience in a Risk role or an audit role focused on Risk, broadly across the various Risk disciplines
  • Strong knowledge of key European regulatory requirements for Risk
  • Experience managing teams and leading projects
  • Strong strategic/analytical thinking and capacity to develop and drive positive change
  • Ability to develop strong internal and stakeholder relationships and effectively communicate and influence at all levels within Group Audit and with stakeholders
  • Direct a group of managers and analysts in the design and execution of self assessment programs aligning to regulatory requirements
  • Mitigate risk that could impact the firm’s reputation through identification and implementation of pricing policies, procedures and controls
  • Execute a risk based approach for ongoing testing and monitoring to ensure compliance with all Regulatory Requirements
  • Partner with Legal, Compliance, Control and Business senior managers on pricing and recognized as the Center of Excellence for existing customer pricing compliance management
Qualifications for VP / audit manager
  • Strong knowledge of risk assessment and annual budgeting/planning process
  • Experienced in various risk management disciplines including models, market, operational, and/or credit
  • 7+ years of experience in control functions of the financial services industry, preferably in Currency and Emerging Markets or Equities
  • Strong working knowledge of Industry Audit processes, Business policies and current Business and Accounting developments
  • Demonstrated experience in Audit or Business related fields, including a working knowledge of appropriate Risk Management techniques
  • Exceptional skills in Risk Assessment Analysis and a solid understanding of Business and Financial Markets
4

VP / Audit Manager Job Description

Job Description Example
Our innovative and growing company is looking to fill the role of VP / audit manager. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for VP / audit manager
  • Manages the design and development of effective audit programs/projects and the execution of audit fieldwork, as necessary
  • Manages the activities of audit personnel including assignment of audit areas and staff providing direct supervision and guidance, as necessary
  • Appraises the adequacy of the action taken by Company management in correcting internal control deficiencies and implementing audit/project recommendations, as necessary
  • Assists the Director of Audit in presentations to the Audit Committee, as necessary
  • Provides technical assistance and consulting to Company management on an as needed basis
  • Prepares comprehensive and accurate work papers and/or reviews and approves audit/project work papers substantiating the audit work performed and the conclusions reached, as necessary
  • Prepares and discusses audit/project observations and related audit/project recommendations derived from results of audit/project with auditees
  • Assists Director with respect to establishing department and individual performance standards and monitoring performance against same
  • Has direct day to day supervisory authority over designated audit staff to include audit managers, senior audit supervisors, audit supervisors and applicable audit specialists, including but not limited to identification of annual performance goals and preparation of annual performance evaluations to support recommendations for salary, promotions and terminations
  • Edits and/or prepares audit/project reports and audit department policies and procedures, as necessary
Qualifications for VP / audit manager
  • Innovative and Agility
  • Apply Project Management practices & prepare communications plan & status reports for key stakeholders with details of requirements, dependencies, risks, timelines
  • A degree in Finance, Computer Science, Information Systems, Engineering, or a related field
  • Design and implement analytical solutions to meet the requirements by working with and analyzing large data sets
  • Experience using Analytics/BI/Reporting packages such as SAS, Tableau, QlikView, QlikSense, NPrinting, & Business Objects
  • Extensive experience of statistical concepts/models and experience in Descriptive Statistical Analysis, Data Mining Techniques
5

VP / Audit Manager Job Description

Job Description Example
Our company is hiring for a VP / audit manager. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for VP / audit manager
  • Participate on related AWM committees and forums
  • Partner with the key AWM Compliance stakeholders to identify emerging issues and distill thematic or systemic control issues affecting the global organization
  • Develop and maintain relationships with the AWM Compliance Management team
  • Risk assessment, control identification, and the coordination and execution of audit work
  • Provide strategic thinking, thought leadership and guidance to the operating model, planning, organisation, direction and control of the Manila Audit Services function
  • Plan, oversee and direct the activities of the Manila Audit Services functions to achieve the Corporation’s objectives, and for timely reporting on Audit Services matters to management and appropriate governance bodies
  • Ensure that Manila Audit Service is appropriately integrated, aligned and operating effectively as part of the broader APAC community
  • Establish strong working relationships and communications with key stakeholders globally
  • Develop periodic goals and set short-term priorities for Manila Audit Services
  • Set clear and measureable goals and objectives for the Audit Services teams and individuals, ensuring performance assessments are completed in line with corporate requirements
Qualifications for VP / audit manager
  • Development and enhancement of reporting, compliance analytics, metrics, and dashboards
  • Bachelors degree in accounting, finance or significant relevant and related experience
  • Audit, business administration, planning and/or finance experience preferred
  • Strong commitment to professional auditing standards, internal controls, risk assessment, regulations and compliance guidelines (e.g., GAAP, GAAS, COSO)
  • Organization or within the financial services industry is required
  • Degree qualification, with relevant experience in core project management in technology projects

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