Exl Service

  • Wealth Management Auditor

    Job Location US-NY-New York
    ID
    2019-6394
    Group
    EXL Consulting
    Type
    Regular Full-Time
  • Overview

    At EXL, we believe there is always a better way. We look deeper, we find it and make it happen. Our solutions integrate operations management services, analytics and technology platforms to deliver immediate results and long-term business impact.

     

    Ours is a company built on value and trust. Our core values are innovation, excellence, collaboration, integrity and trust. We take client service seriously; and our clients’ priorities drive our business focus. Their journey is our journey.

     

    EXL’s Finance Transformation practice focuses on 5 key areas, including, Finance Organizational Design, Process Optimization, Finance Systems Advisory, Compliance & Assurance, and Accounting Advisory Services.

     

    EXL Consulting Banking and Financial Services has a need of a Wealth Management auditor to service its clients in Wealth Management Audit space.

     

    ***Must have direct Internal Audit experience in Wealth Management covering products, solid auditing skills (including documentation) and project mgmt skills***

    • The candidate must have exposure to Wealth Management products and regulations.
    • Candidates should also have auditing experience broadly in Financial Advisor conduct; sales practices and client suitability; advisory products and program strategy; in wealth management space.
    • Exposure to audit digital platforms; access/entitlements management; data quality and protection; and vendor management areas are a plus.

    Responsibilities

    • Identify and assess complex finance risks and controls and relate them to the wider business environment
    • Analyze and evaluate client’s Wealth Management business, products and services
    • Accompany client’s Internal Audit team for audit meetings, and will perform and document walkthroughs, draft narratives, identify controls and perform testing
    • Assist with closure verifications of audit action plans, as well as regulatory MRAs
    • Ability to develop excellent client and internal relationships
    • Ability to deliver high quality work within tight timescales and to budget
    • Team player but also able to drive individual level engagements and initiatives
    • Strong auditing skills (including documentation) and Project Management skills are a must.
    • Ability to lead and supervise 1-2 team members on Internal Auditing projects is a plus.

    Qualifications

    • CA/ CPA/ MBA/ Finance/ Accounting major with 5-7 years of related work experience in Finance/ Product Control within the Banking and Financial Services industry
    • Ability to develop excellent client and internal relationships
    • Ability to deliver high quality work within tight timescales and to budget
    • Team player but also able to drive individual level engagements and initiatives

    EEO Statement

    EEO/Minorities/Females/Vets/Disabilities

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