Senior Audit Manager, Wealth Management

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The Private Wealth Audit team provides independent assurance across key areas of the Private Wealth Management portfolio, including trust companies, registered investment advisors, and personal banking. As a Senior Audit Manager, you'll execute a risk-based audit plan that addresses the most significant risks across the portfolio and supports a strong third line of defense. You'll build strong relationships with business partners to understand emerging risks, business developments, and growth priorities.

In this role, you'll lead complex audits, provide strategic insight to management, and help strengthen the control environment. You'll also lead, coach, and develop audit professionals to ensure audit work is delivered with accuracy, rigor, credibility, and alignment to regulatory and industry standards.

• Audit planning and execution
  - Support Audit leadership in developing and executing a comprehensive, risk-based audit plan that addresses key regulatory expectations and provides effective third line of defense coverage.
• Engagement oversight
  - Oversee multiple audit engagements at once by reviewing detailed project plans that reflect appropriate risks, scope, resource needs, deliverables, timelines, budgets, and stakeholder availability.
• Strategic risk insight
  - Translate business strategies, initiatives, and emerging developments within the Private Wealth Management portfolio into effective, risk-sensitive audit approaches and coverage.
• Quality and reporting
  - Prepare and review meaningful, relevant, and well-supported audit reports, and communicate findings clearly and confidently to stakeholders at various levels of management.
• Partnership and advisory support
  - Build trusted relationships with management, participate in select U.S. region committees to stay informed on current issues, and provide practical advice on business risks, controls, and governance matters.
• Team leadership and development
  - Lead, coach, and mentor audit professionals, provide guidance through all phases of the audit lifecycle, expand team knowledge of wealth management industry practices, and foster a collaborative, high-performing team culture aligned with professional standards.

You have relevant education. You have a bachelor's degree in Accounting, Finance, or a related field.

You’re a seasoned audit professional. You bring 10+ years of progressive experience, including internal audit experience within a large U.S. bank, wealth management firm, or registered investment advisor, with a focus on investment, advisor, and trust-related audits.

You bring strong wealth management risk expertise. You have deep knowledge of business practices, risks, and controls across the wealth management space, including investments, advisory services, and trust activities.

You're a strong communicator and relationship builder. You can present complex information clearly, build credibility with internal and external partners, and communicate effectively through strong written, verbal, interpersonal, and presentation skills. You lead with accountability and sound judgment.

You work independently in complex environments, manage shifting priorities effectively, and bring strong project management skills and professionalism to your work.

You’re a certified professional.

Professional certification such as Chartered Financial Analyst (CFA), Certified Fiduciary and Investment Risk Specialist (CFIRS), or relevant securities licenses is an asset.

You’re able to travel. This role requires up to 15% travel.

Values matter to you. You bring your real self to work, and you live our values - trust, teamwork, and accountability.

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