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Team Leader
AllianceBernstein
Nashville, TN, United States
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Company Overview
AB is a leading global investment-management and research firm with more than $500 billion in assets under management and a presence in 22 countries, with more than 3,400 employees worldwide. We serve clients ranging from institutions to individuals and private clients, and we offer independent research, portfolio strategy and brokerage-related services tailored to our clients’ unique needs. With forward-looking perspective and expertise in equities, fixed-income, alternatives and multi-asset strategies, more than 500 investment professionals collaborate to share ideas and make connections across disciplines, geographies, asset classes and sectors. These collective insights drive innovation and better solutions, helping us keep our clients AHEAD OF TOMORROW®..
Responsibilities
The Audit Supervisor will be responsible for carrying out the following duties:
1. Assist the Audit Director/Manager in carrying out the annual audit plan by the following means:
• Develop and plan the scope of audits.
• Prepare audit programs and execute comprehensive audits in various operational and financial areas of the company, both domestic and international.
• Supervise day to day staff activities.
• Participate in audit planning, progress, and wrap-up meetings.
• Recommend corrective actions or business resolutions, if required, and follow up on implementation.
• Prepare and review audit workpapers that evidence completion of audit and form an adequate basis for the audit report.
• Prepare drafts of audit reports.
1. Assess the accuracy and adequacy of transactional and financial information and the Company’s internal control structure by:
• Reviewing transactions, documents, records, reports, accounting and operational methodologies.
• Using inquiry and observation.
• Employing Risk & Control Assessment (RCM) analytical review procedures.
1. Assist Audit Management in accomplishing certain administrative tasks:
◦ Preparation of annual risk assessments.
◦ Annual audit plan.
◦ Staff recruiting, staff evaluations, and development.
◦ Providing written commentary for the B.O.D. Audit Committee material.
OTHER EXPECTATIONS:
The Audit Supervisor is also expected to:
• Supervise and/or conduct audits specifically assigned to them
• Keep current as to the development of relevant industry, regulatory and corporate matters that may affect the firm and the scope of the Internal Audit Department’s work
• Keep abreast of evolving audit techniques and practices
• Assist the IT Audit Manager in contributing to the strength of the Internal Audit Department through participation in appropriate professional associations
Qualifications
• A Bachelors degree, preferably in a technical field (e.g. Computer Science, Computer Engineering, etc.). A graduate degree is a plus.
• Minimum of 8 years audit experience within the financial services industry, performing information technology reviews
• Strong technical knowledge in at least one technology field (e.g. Networking, Cloud computing, system administration, etc.) required.
• Successful leadership and supervisory responsibilities
• CISA, CISSP and/or CISM required
• Strong communication skills (verbal & written) – MUST HAVE!!
• Ability to interact with all levels of management.
• Ability to travel, domestic and international