Manager – Internal Audit / Investment Management

JOB FUNCTION: Finance & Accounting
JOB TYPE: Direct Hire
COMPENSATION: $90k - $120k
POSTED: Nov 14, 2022

Our client is a leading global financial services firm providing a wide range of investment banking, securities, investment management, and wealth management services. They are seeking a Manager – Internal Audit / Investment Management to join their team. The firm’s employees serve clients worldwide including corporations, governments, and individuals from more than 1,200 offices in 43 countries. As a market leader, the talent and passion of their people are critical to our client’s success. Our client and its employees share a common set of values rooted in integrity, excellence, and a strong team ethic. Our client can provide a superior foundation for building a professional career – a place for people to learn, achieve, and grow. A philosophy that balances personal lifestyles, perspectives, and needs is an important part of their culture.

Salary/Hourly Rate:

$90k – $120k plus Bonus

Position Overview:

Our client is seeking a Manager – Internal Audit / Investment Management to join its Internal Audit Division to support audits performed over the Investment Management businesses. The ideal candidate should have a solid understanding of risks, controls, and audit concepts as well as the overall investment management business, including investment products (mutual funds, hedge funds, fund of funds, alternatives, separately managed accounts, private funds, etc.), portfolio management, trading, operations, and global investment advisor regulation. Additionally, the candidate should have strong time management, organizational, and communication skills.

Responsibilities of the Manager – Internal Audit / Investment Management:

  • Execution of all phases of the audit, including scope determination, development of audit planning memorandums, documentation of walkthroughs and flow charts for key processes, development, and execution of test procedures for key controls, discussion and documentation of issues, and report writing
  • Ensure execution of the audit plan within the departmental methodology, policies, and standards
  • Ongoing communication with business line management to follow up on previously identified audit issues as well as execution of testing to verify closure of previously identified audit issues
  • Execution of continuous monitoring and conducting ongoing risk assessments of key business processes to drive a risk-based audit plan
  • Provide management with an independent and objective evaluation of the control environment and evaluate management’s control consciousness
  • Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards
  • Travel when required

Qualifications of the Manager – Internal Audit / Investment Management:

  • 4 – 6 years of audit experience within the asset management or investment management arena
  • Excellent verbal and written communication skills, including demonstrated ability to communicate with senior management
  • Strong analytical skills
  • Ability to multi-task between several projects using strong project management skills
  • Solid understanding of the internal audit process including risk assessments, planning, scheduling, reporting, continuous auditing
  • CPA, CIA, or other related licensing is a plus
  • Comfortable dealing effectively with senior management
  • Enthusiastic and motivated professional who desires to develop and maintain strong client and team relationships
  • Strong understanding of databases and querying including the use of Microsoft SQL and/or Python and Tableau is preferred

Education Requirements:

  • Bachelor’s degree in Business including Economics, Finance, Accounting, etc.


  • Medical, vision, and dental
  • Prescription drug coverage along with flexible spending and health savings accounts
  • Employee stock purchase program
  • 401(k) retirement savings
  • 529 plans with a company match and IRAs
  • Variety of ways to save money, invest, and protect your assets
As a woman-owned firm, we value diversity. We are an equal opportunity employer and will consider all applications without regard to race, sex (including gender, pregnancy, sexual orientation and gender identity), age, color, religion or creed, national origin or ancestry, veteran status, disability (physical or mental), genetic information, citizenship or any other characteristic protected by law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.
Position ID: 116021