Senior Internal Auditor; Hybrid

The Senior Associate, Internal Audit is the core execution driver of the internal audit function, responsible for performing fieldwork, control testing, and audit documentation across Conning Holdings Limited’s global entities. Working under the direction of the AVP, VP, or Director of Internal Audit, the role delivers high quality audit work in accordance with the IIA Global Internal Audit Standards, internal methodology, and applicable regulatory.

The Senior Associate builds technical depth in asset management, investment management, and broader financial services auditing while developing the judgment, communication, and project management skills required to progress toward an engagement lead role.

• Execute assigned audit engagements end-to-end under the direction of the AVP, VP, or Director, including walkthroughs, process narratives, design assessments, and operating effectiveness testing of key controls.
• Develop and maintain risk-and-control matrices (RACMs), test scripts, sampling rationale, and evidence request lists aligned to engagement scope and risk.
• Prepare work papers and supporting documentation that meet internal audit methodology, IIA standards, and quality review expectations (clear objective, procedure, evidence, conclusion).
• Document audit findings and draft proposed issue ratings for review.
• Coordinate evidence requests, status updates, and meeting logistics with process owners, control function partners, and co-source resources across U.S. and international entities.
• Perform data extracts and basic analytics (e.g., Excel, Power BI, Alteryx, ACL) to support full-population testing, exception analysis, and trend reviews where applicable.
• Escalate scope, evidence, or stakeholder issues to the engagement lead in a timely manner, and contribute to in-flight adjustments to testing approach or sampling.
• Support cross-border engagements through coordination with international stakeholders, including occasional travel (up to 4 weeks annually).

• Draft sections of the internal audit report covering background, scope, procedures performed, observations, issue language, root cause, and recommendations.
• Prepare closing‑meeting materials, status decks, and stakeholder updates that clearly summarize progress, themes, and proposed findings.
• Support validation of findings with the business by walking through evidence, articulating risk impact, and capturing management responses and action plans.
• Communicate audit progress and results professionally and concisely to first‑line process owners and second‑line stakeholders.
• Maintain audit documentation and reporting in accordance with methodology, quality standards, and retention requirements.

• Track open management action plans (MAPs) for assigned audits, including due dates, owners, and evidence status.
• Gather and perform initial review of remediation evidence prior to re-performance by the AVP or VP.
• Prepare quarterly issue status updates for inclusion in Audit Committee reporting and management dashboards.
• Identify and flag overdue or at‑risk MAPs to the engagement lead and Director.

• Provide process‑ and entity‑level inputs into the annual risk assessment, including data pulls, control inventories, regulatory mappings, and prior‑issue analysis.
• Support continuous monitoring of assigned entities by tracking organizational changes, system changes, regulatory developments, and emerging risk indicators that may affect the audit plan.
• Assist in scoping and pre‑planning activities for upcoming engagements, including stakeholder identification, document requests, and audit universe updates.
• Contribute to the maintenance of the audit universe and risk assessment tools (e.g., Excel/RACM templates, SharePoint repositories, GRC tooling as adopted).

• Apply IIA Global Internal Audit Standards and internal audit methodology consistently across all assigned work.
• Contribute to continuous improvement of methodology, templates, and audit enablement tools (One Note, SharePoint, GRC…