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CCB Wealth Management - Audit Manager, Team Lead - VP - New York, NY

Job Description

Position Description:

The team lead will be responsible for the ongoing risk assessment, control identification, audit plan management, resource scheduling, team development, and business continuous monitoring activities across Chase Wealth Management.  The team lead will be directly responsible for the management and development of a team of auditors (5 to 6) located in New York.  Additionally, the team lead will work closely with other CCB Audit Team Leads located in New York, Wilmington, DE, and Columbus, OH to ensure appropriate coverage of line of business.  The team lead will report to the senior audit manager for Chase Wealth Management.   

 

Responsibilities:

Job Responsibilities include:

·         Manage audit engagements with specific focus on holding entire team accountable for meeting deliverables and adhering to departmental and professional standards.

·         Build and maintain key relationships with senior CWM business leaders and related control groups (Risk Management, Legal, Compliance, Operations, etc.) to add value and address unresolved issues.

·         Set aggressive standards for efficient management of resources, schedules and budgets.

·         Provide direction to the team regarding scope and execution.

·         Drive plan creation and changes based on changing business risk profile.

·         Conduct annual performance appraisals for the team and provide ongoing feedback.

·         Establish a business climate and culture that encourages integrity, respect, excellence and innovation.

·         Partner with other audit teams including Technology, Compliance, Risk, Finance, Corporate & Investment Bank, and Asset Management to ensure the delivery of a seamless delivery of audit coverage.

·         Stay up-to-date with evolving regulatory changes and market events impacting the business.

·         Travel to business and audit locations, contingent upon audit plan (approx. 10% per year).

  • Minimum Bachelor's degree. An MBA degree and/or professional certification, such as CPA or CFIRS, is a plus.
  • At least 10+ years of internal audit and/or wealth management experience. Fiduciary and retail broker-dealer audit experience is a plus.
  • Detailed knowledge of products and services provided within the wealth management industry, including but not limited to brokerage, investment advisory, banking, and operational activities.
  • Prior experience of managing and developing a team a plus.
  • Strong knowledge of key brokerage and advisory regulations.
  • Proficiency in risk analysis and report preparation.
  • Excellent verbal and written communication skills and interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change.
  • Strong analytical skills, particularly in regard to assessing the probability and impact of an internal control weakness.
  • Proven ability and desire to learn quickly, be flexible and think strategically.
  • Proven ability to be able to multi task and adapt to changing priorities.
Enthusiastic, self motivated, effective under pressure and willing to take personal risk and accountability
Req #: 160043756
Location: New York, NY US
Job Category: Accounting/Finance/Audit/Risk
Employment Type: Full Time
Potential Referral Amount: 5000 US Dollar (USD)

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