29 días de edad

Internal Audit Manager

Guggenheim Partners
Nueva York, NY 10001
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Guggenheim Partners

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

ID: 2020-1195
Category: Accounting/Finance/Audit
Position Type: Regular Full-Time


Guggenheim is seeking an exceptionally organized and detail oriented candidate to join the Internal Audit Team. The Internal Auditor will report to a Head of Audit and will assist in the planning and execution of audits across the firm. This will entail researching business units and services they engage in and identifying relative risks; executing fieldwork including business unit interviews; documentation and testing of processes and controls; and assisting in the drafting and vetting of findings issues and related actions plans.The successful candidate will have ten to fifteen years of audit experience. They will also possess outstanding intellect analytical abilities and self-confidence. S/he must have the proven ability to anticipate and provide solutions to complex problems. In addition the successful candidate will have a strong work ethic and unquestionable integrity possess excellent communication skills (oral and written) and be capable of presenting in a clear and compelling manner to management.

This position is located in New York. This role will require some domestic travel primarily to Chicago, Rockville, MD, and Santa Monica though travel to other locations may be required.


  • Assist in the maintenance of a dynamic audit universe providing updates to the risk assessment and keeping it evergreen by identifying new activities divestitures and significant changes to businesses
  • Conduct formal audits identified by Internal Audit management across the full spectrum of the audit cycle of planning fieldwork and reporting. This includes:
    • Identification and evaluation of key processes risks and controls
    • Preparation of audit programs and other procedures to test controls
    • Preparation and communication of action plans to remediate control deficiencies
  • Establish and maintain relationships with stakeholders at all levels within the business lines and control functions
  • Monitor and report on the disposition and status of action plans and conduct substantive tests of compliance as necessary
  • Collaborate with others in Internal Audit and across the firm on risk and control related initiatives
  • Perform pre-implementation and post-mortem type reviews as necessary
  • Keep abreast of industry and product specific developments and raise any risk and control related topics of interest to Internal Audit management
  • Promote the department's value proposition


  • Ten to fifteen years of experience working as an auditor covering complex and highly regulated financial service firms; substantial experience in asset management (either at a buy-side shop or within the asset management division of a diversified financial services organization) is required
  • Ideal candidate will also have some experience with information technology (IT) audit as it relates to IT general controls (application and infrastructure)
  • Understanding of registered investment adviser and broker dealer business functions processes and risks including a strong appreciation for the regulatory framework
  • S/he will have an undergraduate degree with solid financial management and auditing training
  • A CPA CIA or CISA certification (or pursuing) is preferred
  • Must understand internal auditing theory and techniques including types of controls and testing procedures as well as related work paper standards
  • Strong organizational and documentation skills (ability to write succinct and cohesive process narratives issue statements findings and action plans)
  • Strong oral communication skills and confidence
  • Ability to take direction and execute successfully with minimal supervision
  • Healthy skepticism and strong aptitude for precision
  • Strong stakeholder interview skills - preparation in framing questions anticipating answers and follow-up questions
  • Ability to learn quickly and research topics and risks germane to areas under audit
  • Solid understanding of Exce,l PowerPoint, Visio, Access, and common internal audit work paper tools (i.e. automated work papers)
  • Understanding of logical access change management data integrity and business continuity controls
  • Aptitude to develop both technical and soft skills in a growing organization
  • In addition the ideal candidate will demonstrate the ability to:
    • Understand and apply the concepts of operational financial and regulatory risks and controls across the financial services industry and for varied financial instruments
    • Analyze issues and develop and execute plans that contribute to significant improvements in financial and operational performance and risk reduction
    • Collaborate with management peers and subordinates in the furtherance of achieving mutually beneficial outcomes
    • Assess evaluate and recommend practices that mitigate risks
    • Deploy creative problem solving
    • Take ownership of processes and improve them
    • Excel in a dynamic and fast-paced work environment
    • Willingness / ability to travel - primarily domestic (Santa Monica, Chicago, Rockville, MD) but other travel may be required.

About the Firm

Guggenheim Partners is a global investment and advisory firm with three primary businesses: investment management, investment banking, and insurance services. We have a track record of delivering results through innovative solutions, with professionals based in offices around the world. Our commitment is to advance the strategic interests of our clients and to deliver long-term results with excellence and integrity. You can learn more about our expertise and values by visiting GuggenheimPartners.com and following us on Twitter at twitter.com/guggenheimptnrs.

To succeed in the Guggenheim culture, candidates must be self-starters and strive for results. We are looking for people who operate as business owners, adhere to the highest standards and think creatively to realize opportunities, wherever they may be.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.



Posted: 2020-06-11 Expires: 2020-07-12

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Internal Audit Manager

Guggenheim Partners
Nueva York, NY 10001

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