Investment Management Auditor

This opportunity is with Axis Risk, a Genpact Company at location of Mumbai

These openings are very critical and will be for one the Worlds largest Investment Banking Outfit having headquarter in US.

Candidate must have exposure to auditing investment management practices, portfolio management, trading, fund accounting, transfer agent activities, derivatives, private equity, and merchant banking as part of BFS sector or as part of Big 4 / other leading risk consulting firms in conducting Internal audit / process reviews for BFS sector clients in this space. The individual should have an understanding of processes, risks, and controls relating to the financial services industry. Must possess understanding of the internal audit process including risk assessments, planning, scheduling, and reporting, The individual must be able to demonstrate good team working and communication skills as the role involves working with multiple audit teams across the globe. The individual should be self-motivated, able to work independently, creatively resolving challenging issues, and striving to bring innovative ideas within a progressive environment.

Education: Bachelor’s degree (pref. in commerce / banking/ finance)

Professional Qualification: CA / CIA / CFA a plus

Job Responsibility:

Being part of Axis, will be deployed at one of our client (a US based leading investment banking company) to support their Global Internal Audit (GIA) Team. The GIA team has an India based off-shore delivery team which we support. Within the GIA team, the candidate will be part of the Investment Management Audit team and primary responsible for conducting internal audits of various investment management activities like portfolio management, trading, fund accounting, transfer agent activities, derivatives, private equity, and merchant banking. JD would include:

Providing support for specific processes/testing in IM audits. The key tasks will be as follows:

a) Perform process walkthroughs and prepare documentation.

b) Perform controls testing in accordance with the Department’s audit methodology.

c) Assist in drafting control issues and identify resolution and timelines for remediation.

d) Participate in continuous auditing (PACE).

e) Assist with closure verification procedures for external (regulatory) and internal audit issues.

f) Assist with closure verification procedures for external (regulatory) and internal audit issues.

g) Contribute to miscellaneous assurance activities not annotated above.

- General support in Continuous Monitoring

- Assist in the preparation and compilation of management reporting related tasks specific to IM, which include but are not limited to: issue and action tracking, audit status and resource management reporting.

Essential skills:

- Knowledge of audit of investment management activities (for institutional clients / fund houses and NOT retail or corporate clients)

Personal attributes

- Excellent communication skills – written and spoken.

- Excellent project management skills – ability to execute and manage multiple audits simultaneously

- Ability to demonstrate initiative, enthusiasm and can work autonomously

- Good interpersonal skills with professional attitude

- High attention to detail

- Team player

Years of experience (Mention Range):

Minimum of 3 to 4 years of experience in auditing investment management practices, portfolio management, trading, fund accounting, transfer agent activities, derivatives, private equity, and merchant banking.

Please revert asap on this as they are critical.

Ajay
Eureka House
M-09810105767