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Operations Auditor
AllianceBernstein
Nashville, TN, United States
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Company Overview
We are seeking a seeking an Operations Auditor with strong business and/or audit experience to join our Operational Risk Group.
Company
AllianceBernstein (AB) is a leading global investment-management firm that offers high-quality research and diversified investment services to institutional investors, financial intermediaries and private-wealth clients in major global markets. Our client base includes some of the world’s leading institutions as well as private-wealth clients and retail investors. We maintain research, portfolio-management, wealth-management and client-service offices around the world, reflecting our global capabilities and the needs of our clients. Partnering closely with clients, our research and portfolio management teams collaborate across asset classes, regions, sectors, and investment strategies to spark new thinking and deliver superior outcomes. We foster an inclusive environment that offers opportunities for team members to continually learn, develop their skills and take on new challenges to progress in their careers.
OPS Group Description:
The Ops Risk Management team is primarily responsible for enforcing AB’s Risk Management Framework within Global Operations departments. The team is the primary point of contact for Investment Management Operations, ABIS and ABDC, and partner with risk managers in Broker Dealer Operations, GFA, Private Client and SMA.
Responsibilities
Describe the role:
The Operations Auditor is responsible for planning,reporting,performing, and following up on specific audit assignments. Assignments are performed to assist in identifying risk, assessing the relative accuracy of information, the effectiveness of internal controls, and compliance with management-instituted policies, procedures, and applicable regulatory rules and regulations.
The key job responsibilities include, but are not limited to:
Assist Management in assessing the risk in operational processes by the following means:
• Execute process assurance audits in various operational areas of the company, both domestic and international
• Participate in audit planning, progress, and wrap-up meetings
• Recommend corrective actions/business resolutions, as appropriate, and follow up on implementation
• Prepare audit workpapers that evidence completion of audit and form an adequate basis for the audit report
Assess the accuracy and adequacy of the Company’s internal controls by:
• Reviewing documented procedures, stated controls and supporting documentation
• Using inquiry and observation
• Employing analytical review procedures
The person in this role will have the opportunity to:
Provide global audit assurance and advisory services that facilitate risk mitigation and operational excellence. Apply audit best practice standards; whose priorities are deeply aligned with the interests of the priorities of the business, the firm’s clients and its unit holders.
As a member of AB’s Operational Risk team, experienced hires are expected to demonstrate proficiency in performing risk assessments around firm activities, evaluating controls and risk mitigation. Through execution of diverse assignments, this position offers exposure to all levels of management and the global investment management business.
Job Expectations:
The Operations Audit Associate is also expected to keep current as to the development of relevant industry, regulatory and corporate matters that may affect the audit scope.
Qualifications
• Bachelor's degree
• 3+ years’ experience (within audit and/or the business) of the global financial services industry. Experience in investment management operations, ie: settlements, account reconciliation, corporate actions, account and security static reference data maintenance, etc.
Preferred Qualifications:
• Experience in the asset management industry (including alternatives and mutual funds) is a big plus
• Professional Certification (CIA, CFSA, CFA, etc.)
• Strong written and oral communication skills are a must
• Strong analytical problem-solving skills along with oral and written communication skills
• Attention to detail
Not ready to apply? Connect with us for general consideration.