Senior Auditor
Posted on: 20 Oct 2021
Boston, MA
Job Description
Job Description
Plan and execute portions of the Risk & Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities, present objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control and governance processes. Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations.
Responsibilities
Plan and execute portions of the Risk & Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities. Present objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control and governance processes.
Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations.
Gather information and provide input into risk assessments in conformance with department standards, generally in less complex areas.
Monitor and validate Management Action Plan status and recommend closure of Management Action Plans when actions are complete and identified deficiencies have been addressed.
Coordinate with appropriate control groups in planning, and executing assigned work. Complete work within established time lines. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established time lines.
Required Qualifications
Bachelors degree or equivalent
Availability to travel.
1-3 years in public accounting, internal audit, technology audit or related financial services field.
Demonstrated proficiency in basic audit skills and business knowledge.
Demonstrated aptitude for project leadership.
Preferred Qualifications
CIA, CISA, CPA, CFSA,CRMA
2-4 years of professional experience.
Strong oral and written communication skills.
Standard desktop computing skills.
Ameriprise Financial
Minneapolis, MN
Ameriprise Financial, Inc., through its subsidiaries, provides various financial products and services to individual and institutional clients in the United States and internationally. It operates through five segments: Advice & Wealth Management, Asset Management, Annuities, Protection, and Corporate & Other. The Advice & Wealth Management segment provides financial planning and advice, as well as full-service brokerage services primarily to retail clients through its advisors. The Asset Management segment offers investment management and advice, and investment products to retail, high net worth, and institutional clients through unaffiliated third party financial institutions and institutional sales force. Its products also include U.S. mutual funds and their non-U.S. equivalents, exchange-traded funds, variable product funds underlying insurance, and annuity separate accounts; and institutional asset management products, such as traditional asset classes, separately managed accounts, individually managed accounts, collateralized loan obligations, hedge funds, collective funds, and property funds.
The Annuities segment provides variable and fixed annuity products to individual clients through affiliated and unaffiliated advisors, and financial institutions. The Protection segment offers various products to address the protection and risk management needs of retail clients, including life, disability income, and property casualty insurance through advisors and affinity relationships.
The Corporate & Other segment consist of long term care business, net investment income or loss on corporate level assets. The company was formerly known as American Express Financial Corporation and changed its name to Ameriprise Financial, Inc. in September 2005. Ameriprise Financial, Inc. was founded in 1894 and is headquartered in Minneapolis, Minnesota.
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IndustryBanking/Financial Services
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No. of Employees14, 000
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Website
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Jobs Posted75
