AllianceBernstein

  • Audit Team Lead

    Location : Location US-TN-Nashville
    ID
    2019-6426
    Category
    Legal and Compliance
    Position Type
    Full-Time
  • Company Overview

    About AllianceBernstein

     

    AB is a leading global investment-management and research firm with more than $500 billion in assets under management and a presence in 22 countries, with more than 3,600 employees worldwide. We serve clients ranging from institutions to individuals and private clients, and we offer independent research, portfolio strategy and brokerage-related services tailored to our clients’ unique needs. With forward-looking perspective and expertise in equities, fixed-income, alternatives and multi-asset strategies, more than 500 investment professionals collaborate to share ideas and make connections across disciplines, geographies, asset classes and sectors. These collective insights drive innovation and better solutions, helping us keep our clients AHEAD OF TOMORROW®..

     

    AllianceBernstein is an equal opportunity employer.  We do not discriminate based race, color, creed, national origin, sex, age, disability, marital status, sexual orientation or citizenship status.

    Responsibilities

    Job Description:

     

    We are seeking an Audit Director with strong business and/or audit experience to join our Internal Audit Department.  This position is an opportunity for experienced professionals to join a dynamic team to deliver value added audit services. 

     

    The mission of the Internal Audit is to be a world class department which:

    • Serves as a trusted advisor
    • Provides global audit assurance and advisory services that facilitate risk mitigation and operational excellence
    • Employs highly competent, well-credentialed personnel applying audit best practice standards; whose priorities are deeply aligned with the interests of the firm’s clients and unit holders

    As a member of AB’s Internal Audit Department, experienced hires are expected to demonstrate proficiency in performing risk assessments around firm activities, evaluating controls and risk mitigation.  Through execution of diverse assignments, this position offers exposure to all levels of management and the global investment management business.

     

    Under the auspices of the Chief Audit Officer, develop and implement the US internal audit program designed to assess the adequacy and effectiveness of the investment management and core advisory processes, the effectiveness of internal controls, and compliance with management instituted policies and procedures and applicable regulatory rules and regulations.

     

    The key job responsibilities include, but are not limited to:

     

    SPECIFIC RESPONSIBILITIES:
    Maintain high standards of audit quality by the following means:

    • Perform and review risk assessments
    • Prepare and review risk control matrices
    • Monitor the status of audits and review staff workpapers to ensure that 1) adequate documentation has been gathered to evidence completion of the audit work and 2) the workpapers form an adequate basis for the audit conclusion/opinion
    • Participate in audit planning, progress, and wrap-up meetings
    • Prepare and review draft audit reports
    • Coordinate audit activities with the other Internal Audit teams as appropriate

    Assist the Chief Audit Officer in accomplishing the following:

    • Preparation of annual audit plans/risk assessments
    • Recruiting efforts
    • Staff evaluations
    • Communication of audit plans with department heads
    • Preparation of BOD Audit Committee materials & presentation to the Audit Committee as necessary
    • Preparation of department budget
    • Preparation of and reporting on KPI’s

    OTHER EXPECTATIONS:
    The Audit Director is also expected to:

    • Provide practical solutions to achieve risk mitigation
    • Conduct audits specifically assigned to them
    • Keep current as to the development of relevant technology, industry, regulatory and corporate matters that may affect the firm and the scope of the Internal Audit Department’s work
    • Keep abreast of evolving audit techniques and practices
    • Assist the Chief Audit Officer in contributing to the strength of the Internal Audit Department through participation in appropriate professional associations

    Qualifications

    This position requires:

     

    • A college degree
    • Minimum of 10 years operational audit/line management experience or equivalent, preferably within the Financial Services industry/Investment Management business
    • Experience in the follow areas: Research, Portfolio Management, Buy-Side trading, including quantitative/algo trading, Investment Management Operations, Institutional Sales and Marketing, Regulatory and Investment Compliance.
    • Successful leadership and management responsibilities
    • CPA, CIA, CFA, or advanced degree required
    • Strong communication skills (verbal & written) – MUST HAVE!!
    • Ability to interact with all levels of management
    • Ability to travel domestic and international

     

    Special Knowledge:

    Financial Services, specifically Asset Management audit or business experience

     

    Location:  Nashville, Tennessee

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