Management Audit Resume Samples

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MT
M Treutel
Mariano
Treutel
8692 Jaron Trail
New York
NY
+1 (555) 666 8311
8692 Jaron Trail
New York
NY
Phone
p +1 (555) 666 8311
Experience Experience
11/2014 present
Philadelphia, PA
VP Global Wealth Management Audit Team Lead
Philadelphia, PA
VP Global Wealth Management Audit Team Lead
11/2014 present
Philadelphia, PA
VP Global Wealth Management Audit Team Lead
11/2014 present
  • Conduct annual performance appraisals for their team and provide ongoing feedback
  • Continue to strengthen and manage relationships with senior GWM business leaders and related control groups
  • Manage relationships and field requests from U.S. Regulators such as the OCC
  • Monitor key risk indicators, significant change activities and escalation of emerging issues to senior management in a timely fashion
  • Work with stakeholders in a consulting role to add value and address unresolved issues
  • Provide direction to their team regarding scope and execution
  • Drive plan creation and changes based on changing business risk profile
04/2009 07/2014
Dallas, TX
Asset Management Audit
Dallas, TX
Asset Management Audit
04/2009 07/2014
Dallas, TX
Asset Management Audit
04/2009 07/2014
  • Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback; and
  • Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback
  • Document audit results and communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls
  • Maintain investment management expertise by staying abreast of industry, regulatory and political developments
  • Create and manage COI RAMs and/or ensure COI risks captured within other standard RAMs
  • Works well individually and in teams, shares information, supports colleagues and encourages participation
  • Build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
06/2003 10/2008
Los Angeles, CA
Risk Management Audit
Los Angeles, CA
Risk Management Audit
06/2003 10/2008
Los Angeles, CA
Risk Management Audit
06/2003 10/2008
  • Managing audits that relate to Basel II / Basel III IRB Credit Risk Management processes – from planning through reporting
  • Building credible relationships with senior management in the Credit Risk function
  • Supervising and mentoring junior staff, reviewing work papers to ensure they meet internal standards
  • Following-up on Internal Audit and Regulatory findings with clients through to completion
  • Independently performing risk assessments and planning, executing and leading integrated risk, financial and technology audits
  • Evaluating the adequacy of design and effectiveness of key controls and potential business concerns
  • Documenting the results of work performed. The extent of documentation would include proper cross-referencing, checklists, indexing, documentation maintenance, documented exception follow-up procedures, etc
Education Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
The George Washington University
Bachelor’s Degree in Accounting
Skills Skills
  • Establish strong work relationships with Global Wealth Management business personnel and other control groups (risk management, compliance, legal, etc.)
  • Participate in the annual planning process for each applicable audit team to influence appropriate and consistent coverage within and across businesses
  • Provide relevant industry updates to Audit teams and business stakeholders (as applicable)
  • Perform detailed control assessments and test work across multiple Global Wealth Management functions and processes
  • Ensure through QC that COI has been appropriately mapped to applicable Audit Universe Items (AUIs)
  • Perform detailed control assessments and test work across multiple Wealth Management functions and processes
  • Establish strong work relationships with the Wealth Management business management and other control groups (risk management, compliance, legal, etc.)
  • Perform audit projects from planning to reporting and deliver a quality product in line with department standards
  • Perform Top Down Analysis to ensure comprehensive audit coverage across select COI risks
  • Partner with colleagues, regulators, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of control environment
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15 Management Audit resume templates

1

VP Global Wealth Management Audit Team Lead Resume Examples & Samples

  • Continue to strengthen and manage relationships with senior GWM business leaders and related control groups
  • Hold their team accountable for high quality delivery within budget
  • Drive plan creation and changes based on changing business risk profile
  • Minimum of 10 years of experience, preferably in Wealth Management Audit
  • Education to degree standard is preferable, as is a relevant professional qualification. All relevant educational, business or accounting qualifications will be taken into account. The Certified Fiduciary and Investment Risk Specialist is a plus
  • Proven track record in dealing with Regulators in U.S. such as the OCC and FED
  • Knowledge and, preferably, experience of product areas relevant to private banking including fiduciary activities (Reg 9), brokerage and banking services. Ideally this experience will be from an audit or risk perspective
  • Ability to effectively manage and develop teams
2

Asset Management Audit Resume Examples & Samples

  • Minimum of 3-5 years of audit or relevant business line/risk management experience
  • Detailed knowledge of products and services provided within a Global Wealth Management business including investment management, brokerage, banking and credit, trustee services and specialty wealth advisory services
  • Ability to build strong partnerships with key stakeholders, desire to learn quickly, be flexible and think strategically
  • Ability to execute audits, multi-task, and participate in audit assignments in a team environment
  • Ability to travel as needed for audits
3

Audit Manager Global Asset Management Audit Resume Examples & Samples

  • Analyzing and assessing the risks (market, credit, operational, legal and compliance) resulting from business activities
  • Identifying and evaluating the effectiveness of controls designed to mitigate those risks
  • Providing practical, innovative, and value-adding solutions to issues identified
4

Head of Risk Management Audit Capital International Resume Examples & Samples

  • Demonstrated ability to navigate a global matrix organization and possess the ability to collaborate and influence change at the highest levels of the organization
  • Demonstrated experience in driving transformational change at other complex and diverse institutions
  • Experience in international financial services
  • Exceptional oral and written communication, presentation, interpersonal, and facilitation skills
  • Proven skills as a strong risk advisor and respected business partner to provide real time feedback on strategies and controls
  • Excellent analytical, decision making and time management skills. Mature planning, organizing and directing skills
5

Asset Management Audit Manager VP Resume Examples & Samples

  • Clear focus on managing client assets and delivering strong risk-adjusted returns
  • Nearly 1,300 investment professionals providing strategies spanning the full spectrum of asset classes, including equity, fixed income, cash liquidity, currency, real estate, hedge funds and private equity
  • Leadership positions in the U.S., U.K., Continental Europe, Asia, and Japan
  • Lead audit engagements covering the Man.Co. businesses including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
  • Perform timely review and provide honest and constructive feedback
  • Participate to local Governance Committees
  • Liaise with JPMC Audit regional team(s)
  • Limited travel will be required
6

Risk Management Audit Resume Examples & Samples

  • Managing audits that relate to Basel II / Basel III IRB Credit Risk Management processes – from planning through reporting
  • Building credible relationships with senior management in the Credit Risk function
  • Supervising and mentoring junior staff, reviewing work papers to ensure they meet internal standards
  • Following-up on Internal Audit and Regulatory findings with clients through to completion
  • Independently performing risk assessments and planning, executing and leading integrated risk, financial and technology audits
  • Presenting/communicating observations to line management
  • Securing formal management responses to audit recommendations
  • Holding follow-up meetings concerning open audit actions with line management quarterly
  • Communicating effectively both orally and in written form with senior management, the Board Audit Committee, and Regulators
  • A strong understanding of the regulatory environment with respect to the Federal Reserve Bank, the OCC and the SEC
  • A strong understanding of the Basel regulations relating to Internal Ratings Based approach for regulatory capital for large banking institutions
  • Strong analytical, interpersonal, and communication skills
7

VP-asset Management Audit Resume Examples & Samples

  • Disseminate best practice and lessons learned to colleagues and clients
  • Continue to strengthen and manage relationships with senior GIM business leaders and related control groups (e.g., Compliance, Risk, Oversight and Controls and Operations)
  • Perform ongoing monitoring of operational and financial related data to identify patterns/trends with risk and control implications
  • At least 7+ years of Asset Management audit or business experience
  • Strong knowledge of investment products along with a good knowledge of the end to end transaction cycles and systems in asset management will be a plus
  • A good understanding of the local/regional regulatory requirements
8

Asset Management Audit Resume Examples & Samples

  • Report on staff and headcount
  • Manage internal key performance indicators reporting to proactively identify plan or budget exceptions and provide appropriate escalation or rationale
  • Help design and maintain audit coverage tracker
  • Provide ad-hoc analysis required to support key decisions
  • Provide data sets and reports, as required
  • Respond to ad-hoc requests
  • Bachelor’s degree is required
  • 1-3 years’ work experience within the Financial Services Industry
  • Advanced knowledge of Microsoft Excel, PowerPoint, and MS Access required
  • Proven project management/organizational skills
  • Demonstrated effective written and oral communications
  • Excellent writing and editing skills
  • Proven ability to be effective under pressure and be willing to take personal responsibility and accountability
9

Head of Asset Management Audit Resume Examples & Samples

  • Leading a team of audit professionals and developing and overseeing the execution of the Asset Management audit plan in the UK
  • Managing audits of Asset Management businesses. In these audits, you will identify and evaluate the effectiveness of controls designed to address those risks, provide practical, innovative, and value-added solutions to issues identified, and prepare reports of audit findings for UBS senior management at local, global, functional and Group levels
  • Leading the continuous risk assessment (CRA) process for the UK, to identify emerging risks and consider their impact on the audit plan, as well as contributing to the quarterly CRA and governance & activitiy reports
  • Developing key stakeholder relationships across Asset Management in the UK
  • Representing the AM UK Audit team in functional, operating, risk and governance committees
10

Head of Asset Management Audit for the Americas Resume Examples & Samples

  • Lead a team of audit professionals and develop and oversee the execution of the Asset Management audit plan in the Americas
  • Manage audits: identify and evaluate the effectiveness of controls designed to address those risks, provide practical, innovative, and value-added solutions to issues identified, and prepare reports of audit findings for our senior management at local, global, functional and Group levels
  • Lead the continuous risk assessment (CRA) process for the Americas, to identify emerging risks and consider their impact on the audit plan, as well as contribute to the quarterly CRA and governance & activitiy reports
  • Develop key relationships across Asset Management in the Americas but also globally
  • Represent your team team in functional, operating, risk and governance committees
11

Asset Management Audit Global Wealth Management Senior Auditor AVP Resume Examples & Samples

  • Participate (and sometimes lead) in audit projects from planning to reporting with supervision and deliver a quality product in line with department standards and expectations
  • Stay up to date with the global and regional regulatory and market environment, especially as it pertains to Global Investment Management
  • The position may require up to 10% travel
  • Relevant experience in financial services within public accounting, internal audit or relevant business roles
  • Keen intellectual curiosity, self-motivated, and effective under pressure and willing to take personal responsibility/accountability
  • Previous experience in auditing portfolio management or trading businesses is preferred
12

Asset Management Audit Global Wealth Management Senior Auditor AVP Resume Examples & Samples

  • Lead and participate in audit engagements covering the Wealth Management businesses including risk assessments, audit planning, audit testing, control evaluation, report drafting and follow-up and verification of issue closure
  • Effectively manage audit engagement teams, performing timely review and providing honest and constructive feedback; and
  • Expected travel requirement up to 30%
  • Education to degree standard is preferable, as is a relevant professional qualification (e.g., CIA, CISA, ACCA, etc.). All relevant educational, business or accounting qualifications will be taken into account
  • Knowledge of products and services provided within a Global Wealth Management business is favorable, although not mandatory, including investment management, trustee and specialty wealth advisory services, brokerage, banking and credit
  • Ability to manage multiple tasks concurrently in an efficient and effective manner
  • 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; and
13

Asset Management Audit Resume Examples & Samples

  • Lead and participate in audit projects from planning to reporting with supervision and deliver a quality product in line with department standards and expectations
  • Identify risks, evaluate, test and report on the adequacy and effectiveness of management controls; finalize audit findings and use judgment to provide an overall opinion on the control environment; and document audit results and communicate issues to management, identifying opportunities for improvement in the design and effectiveness of key controls
  • Monitor and analyze key performance indicators to identify trends and build and maintain key relationships with stakeholders, establishing a culture of engagement while adding value
  • Stay up to date with the global and regional regulatory and market environment, especially as it pertains to Global Wealth Management
  • Bachelors degree or equivalent (preferably in Accounting, Finance, Economics or related discipline)
  • Professional accountancy qualification and/or other professional certifications are a plus
  • Some knowledge of products and services provided within a Global Wealth Management business
  • Knowledge of applicable laws and regulatory requirements banking
14

Asset Management Audit Resume Examples & Samples

  • Partner with other groups within Audit (Investment Bank, Commercial Bank, Consumer Bank,
  • Technology, etc.) to ensure the delivery of a seamless program of audit coverage across JPMorgan Chase
  • Accountancy qualification or similar designation
  • 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. Basel and CCAR knowledge is considered a plus
  • Ability to travel up to 5%
15

Senior Manager, Management Audit Resume Examples & Samples

  • CPA or equivalent experience
  • 7+ years of related auditing/ accounting and project management experience (Big 4 audit experience preferred)
  • Strong leadership and management skill
  • Ability to position oneself as a strategic partner to assist audit stakeholders in meeting company objectives
  • Superior project management skills and experience managing large budgets and multiple projects or engagements simultaneously
  • Microsoft Project
  • Bachelor's degree - Accounting or Finance
16

Senior Manager, Risk Management Audit Resume Examples & Samples

  • Work with risk management audit engagement partners on the resolution of field inquiries
  • Manage new client and engagement acceptance process
  • Review state and local government proposal requests, contracts and agreements
  • Review modifications to firm’s standard contracts and engagement letters
  • Develop and revise risk policies
  • Support team leaders in their participation on various U.S. and Global task forces, committees, and working groups
  • Minimum eight years of experience in an audit client service delivery role or a similar compliance type role; preferably within a professional services firm or similar environment
  • Bachelor’s degree from an accredited college or university; CPA is required
  • Applied working knowledge of U.S. GAAP, GAAS, and PCAOB auditing standards
  • Strong research, analytical, and compliance-oriented skills
  • Ability to work independently, manage competing priorities and participate in diverse initiatives under tight timelines
  • U.S. Citizenship required
17

Trust & Wealth Management Audit Manager Resume Examples & Samples

  • Manage a comprehensive risk based audit assurance program. Direct and coordinate team audit activities to ensure all assigned responsibilities are performed in a high quality manner and on a timely basis. Responsible for planning and organizing audit activities within the framework established by the department's policies, process universe, and frequency guidelines. Provide input to refine/enhance and/or develop effective and efficient audit processes and procedures. Ensure prescribed schedules, operating policies and procedures are followed; allocate work, sets priorities and deadlines. Assist the Financial Services Audit Manager in developing and monitoring risk assessments through interaction with and analysis of responsible lines of business
  • Serves as subject matter expert for responsible lines of business. Manage auditors in-charge and assume responsibility for the overall coordination and successful completion of the Retirement Institutional Services and Wealth Division team’s audit plan. Review and evaluate existing systems, processes and controls to determine the adequacy of operating procedures, the effectiveness of internal controls, and reliability of financial information reported on the bank's general ledger and compliance with laws and regulations and corporate policies. Recommend appropriate procedural changes to management, which will facilitate the safeguarding of assets, reduce costs and improve operating efficiency. Supervise and coordinate special audit assignments, to include merger and acquisition activities, special investigations, support of other audit functions and customer inquiries/complaints. Assist Financial Services Audit Manager in the maintenance of current risk profiles for each line of business. Ensure annual Sarbanes-Oxley required control evaluation and testing is performed in a timely, complete, and quality manner
  • Provide leadership in development of staff and self, taking responsibility for ensuring staff is given the opportunity to develop within the area of responsibility. Enhance knowledge by continually monitoring trends and developments in the auditing profession, banking industry, and financial services industry. Serve as coach for areas of financial services industry questions. Pursue continuing education and additional professional certifications, as appropriate
  • Proactively develop and maintain mutually beneficial relationships with Financial Services Management. This is accomplished by gaining a clear understanding of their mission and goals, informing them of the services provided by Audit Services, ensuring Audit participation on critical projects/task forces, ensuring Audit projects deliver added value and obtaining meaningful feedback from Audit clients. Be a Client Service champion by consistently modeling world standard client service delivery
  • Assist Financial Services Audit Manager in developing and maintaining effective, mutually beneficial relationships and communication with line of business management to ensure adequate audit coverage
  • Maintain rapport with and assist in the coordination of audit efforts with external auditors/bank examiners to ensure prompt and efficient completion of their examination within the scope of assigned audits. Maintain effective communications with external auditors and regulatory examiners, and provide assistance/direction to them in order for them to complete their objectives effectively and efficiently. Perform special audit assignments, due diligence, and ongoing mergers and acquisitions consulting
  • Maintain a current risk profile for each line of business. Work extensively with line of business management to identify emerging risks and prioritize audit efforts based on changing risk environment
  • Enhance business knowledge by continually monitoring trends and developments affecting each line of business. Consider the impact of these trends and developments upon audit work planned and performed. Communicate relevant information with audit teams
  • Set clear objectives for audit teams and monitor progress toward those objectives with a focus on high quality results and employee accountability. Participate in the delivery of feedback to the audit team. Coach and advise audit team members on specific training needed
  • Participate in departmental budgeting, audit planning, corporate planning, and Audit Committee reporting, etc. In addition, make and approve recommendations for audit personnel regarding employment, training, salary administration, performance appraisals, promotions, transfers terminations and staffing. Maintain budget and expense control in accordance with departmental and bank guidelines
  • Assist in the development of Audit Services’ Mission Statement, Corporate Goals, Audit Committee and regulatory reports. Make recommendations for assigned personnel regarding employment, training, performance ratings, salary changes, promotions, transfers and terminations; resolve personnel problems; and assist in preparing the annual budget
  • Ten years experience as a financial services auditor or examiner at a recognized financial services firm
  • Comprehensive knowledge and competency of current financial services industry laws and regulations, trust and investment advisory services and assigned lines of business
  • Significant management experience in banking, financial services, or auditing of these relevant areas
  • Excellent organizational, interpersonal, communication, facilitation, and negotiation skills
  • Ability to interact directly with Senior Leadership Team and line of business management
  • Willingness and ability to travel when necessary, including overnight
  • Demonstrated proficiency in basic computer applications such Microsoft Office software products
  • Graduate degree in a business related field
  • Strongly desire professional certification
18

Management Audit Resume Examples & Samples

  • MS Office Suite including Word, Excel, PowerPoint, and Access
  • Strong project management and organizational skills with ability to be accountable for multiple aspects of several projects simultaneously
  • Good judgment, ability to maintain confidentiality, and high level of ethics, integrity, and professionalism
  • Familiarity with SAP
  • Currently pursuing (or recently graduated with) a degree in finance, accounting, business or other related field
  • GPA of 3.0 or higher
19

Asset Management Audit Resume Examples & Samples

  • At least 2-3 years of Asset Management/Wealth Management audit or business experience
  • Detailed knowledge of products and services provided within the Wealth Management business including investment management, brokerage, banking and specialty wealth advisory services
  • Professional accountancy qualification and/or other professional certifications, such as Series 7, CFA, or CFIRS are a plus
20

Brokerage & Wealth Management Audit Manager Resume Examples & Samples

  • Manage the overall execution and completion of concurrent (typically two) audit projects on a timely basis
  • Manage the audit to focus on key risks and ensure efficient and effective delivery with the highest quality, in compliance with professional standards and audit policies
  • Review and interpret work papers and analyses presented by team members and consistently draw the right conclusions
  • Prepare for and conduct key audit meetings and presentations with management
  • Inspire and challenge audit teams to achieve excellent performance and collaboration
  • Mentor and develop audit staff and act as a knowledge resource
  • Effectively identify and communicate unusual/difficult problems and recommended solutions to audit leadership
  • Assess audit staff against established performance and leadership criteria; provide timely, honest and meaningful project evaluations. Establish open and effective communication with management and work collaboratively with functional partners across the organization
  • Serve as contact with line of business management in a collaborative way to foster positive working relationships, promote Audit's image, provide control advice and issue trends and to stay abreast of major business activities and changes in the business; and make audit plan recommendations as necessary
  • Support continuous process improvement by identifying needs and opportunities and recommending appropriate process changes; champion common audit process approach; recommend process changes to maintain the highest quality standards
  • Assist Audit leadership, as appropriate in communicating with and fulfilling information requests from federal and state regulators
  • Bachelor's degree in related field of study
  • 7-10 years of relevant experience within the financial services industry and/or public accounting
  • Strong critical thinking skills and experience auditing risks in a dynamic organization
  • Strong leadership and managerial skills (detail-oriented, deadline driven, self-directed, organized, etc.) with proven track record of increasing responsibilities within the organization
  • Effective project management skills and the ability to manage several projects/activities simultaneously
  • Ability to multi-task and work well in a changing environment
  • Demonstrated skill in successfully managing audit teams with an emphasis on staff development
  • Ability to develop and maintain strong management relationships within assigned audit area(s)
  • Proficient in MS-Word, Excel, PowerPoint, and Outlook. Experience with TeamMate and Flowcharting software a plus
  • Knowledge of online broker/dealer, registered investment advisor, for-ex and futures (e.g. FINRA, SEC, NFA), and other industry regulations/frameworks (e.g. COSO and SOX) preferred
  • Knowledge of data mining and analytical tools preferred (SAS, ACL, IDEA, MS Access)
  • Related certification strongly preferred (CPA or CIA preferred)
  • Occasional travel required
21

Asset Management Audit Resume Examples & Samples

  • Govern periodic council meetings (as appropriate) (governance includes charter and workgroup)
  • Assess Skills Adequacy and associated training requirements
  • Serve as respective topic expert
  • Define Audit tollgate engagement model
  • Perform Top Down Analysis to ensure comprehensive audit coverage across select COI risks
  • Ensure through QC that COI has been appropriately mapped to applicable Audit Universe Items (AUIs)
  • Oversee execution of related audits and monitor audit coverage in the Bottoms Up plan
  • Attend tollgates as defined in engagement model
  • Create a COI Strategy Memo
  • Create and manage COI RAMs and/or ensure COI risks captured within other standard RAMs
  • Identify themes and trends from issues and provide a qualitative view of audit coverage and how the firm is managing the related control risks with the Audit Committee and Senior Management
  • Participate in peer and industry groups as appropriate
  • Provide relevant industry updates to Audit teams and business stakeholders (as applicable)
  • Demonstrated experience in the area
  • Holds and maintains relevant certification(s)
  • Minimum of a Bachelor's degree in Accounting, Finance, or related discipline
  • Must have 10+ years of COI experience (including audit)
  • Strong knowledge of laws and regulations relating to COI, their interpretation in the financial services industry and by regulators
  • Enthusiastic, self-motivated, effective under pressure and willing to take risk
22

Asset Management Audit Resume Examples & Samples

  • Work with LOB auditors to ensure the appropriate execution of fiduciary audit coverage of investment management services
  • Provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities and issue validations specifically relating to investment managements services
  • Help ensure the LOB audit team is appropriately qualified to effectively execute testing
  • Identify cross-business issues and trends, and share across audit teams to affect changes to planned coverage
  • Maintain investment management expertise by staying abreast of industry, regulatory and political developments
  • Provide relevant industry updates to Audit teams and business
  • Assist the Fiduciary SME Team in the determination of necessary staff training requirements and strategies and benchmarking approach/coverage against those of our peers
  • Establish, as appropriate and applicable, minimum standards and guidelines, including creating and maintaining standard investment management test programs (RAMs) appropriately incorporating 12 CFR9 and ERISA requirements
  • Proactively identify areas where risk exists and advise LOB audit teams on the appropriate assessment of fiduciary risk
  • Participate in the annual planning process for each applicable audit team to influence appropriate and consistent coverage within and across businesses
  • Promote a culture that encourages integrity, respect, inclusion, innovation and excellence
  • Minimum of a Bachelor's degree in Accounting, Finance, or related discipline. Certified Financial Analyst (CFA) Certification expected
  • Must have 15+ years of broad investment management experience
  • Broad and deep knowledge of first and second line investment processes, investment products, including alternatives and structured products, and vehicles across all client segments
  • Ability to manage projects and participate in audit assignments in a team environment
23

Asset Management Audit Resume Examples & Samples

  • Work with LOB auditors to ensure the appropriate execution of fiduciary audit coverage of investment management services and regulatory requirements specifically 12 CFR 9 (including 12 CFR 9.18) and/ or ERISA
  • Must have 15+ years of 12 CFR 9 and /or ERISA experience relating principally to investment management services
  • Broad and deep knowledge of first and second line investment processes, investment products and vehicles across all client segments
24

Asset Management Audit Resume Examples & Samples

  • Work with LOB auditors to ensure the appropriate execution of fiduciary audit coverage of trust and estate administration and regulatory requirements specifically 12 CFR 9
  • Provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities and issue validations specifically relating of trust and estate administration
  • Maintain trust and estates administration expertise by staying abreast of industry, regulatory and political developments
  • Establish, as appropriate and applicable, minimum standards and guidelines, including creating and maintaining standard invetsment management test programs (RAMs) appropriately incorporating 12 CFR9 and ERISA requirements
  • Minimum of a Bachelor's degree in Accounting, Finance, or related discipline. CFIRS certification expected
  • Must have 15+ years of 12 CFR 9 experience
  • Broad and deep knowledge of first and second line trust and estate administration processes