Audit Manager, Internal Audit (Capital Markets)

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Audit Manager - Internal Audit (Capital Markets) at Northern Trust, Bangalore.

Lead audits, manage teams, drive regulatory compliance, and ensure rigorous internal control.

About Northern Trust

As a global leader in innovative wealth management, asset servicing, asset management and banking services, Northern Trust (Nasdaq: NTRS) is proud to guide the world’s most successful individuals, families, corporations and institutions.

Since 1889, we have aligned our efforts with our three guiding Principles That Endure: Service, Expertise, and Integrity. Together, they reflect the three cornerstones of business conduct which we strive to instill in our employees, whom we call partners, and to provide to our clients and the communities we serve worldwide.

With more than 135 years of financial experience and over 24,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Role Overview

The Audit Manager is responsible for conducting and documenting audits throughout the Corporation.

This role leads audit project teams, which includes providing oversight to the audit team and communicating results of the engagement to management. The Audit Manager provides technical expertise and training to auditors within the engagement audit team and works closely with Audit Team Leads and Senior Audit Managers to confirm the scope of the audit and to devise an appropriate testing approach to be performed during the engagement.

Major Duties

• Leads two or more audits simultaneously at a minimum.
• Conduct and document more complex and high risk audits throughout the Corporation.
• Demonstrates professional skepticism and comfort with questioning how certain processes are being performed in order to facilitate making improvements.
• Finalizes planning document.
• Assisting in Audit Plan evolution by challenging scoping of audit project.
• Functions in various roles on audit assignments, including leading audits, staffing audits, and providing oversight functions based on the needs of the team.
• Applies analytical skills to review information, perform assessments of the audit results, and evaluate the adequacy of controls.
• Leads a team of 1 or more staff in executing audits.
• Works closely with the Audit Team Leader/Senior Audit Manager to perform/develop the audit planning, scoping, and fieldwork execution strategy.
• Works closely with the Audit Team Leader/Senior Audit Manager to develop the audit budget and/or timeframe for how the audit will be completed.
• Reviews the work papers of the audit team members ensuring that departmental standards have been met.
• Communicates the audit status to business unit and Audit Services management. Responsible for direct interaction with different committees and/or management.
• Completes and compiles findings and recommendations for the purpose of status updates, memos, and audit reports.
• Coordinates with other audit teams (business unit, regional, and specialist) to ensure evaluations of related areas occur timely and cover key areas within the audit.
• Provides training, coaching, and auditing expertise to the audit team.
• Operates independently; has in-depth knowledge of business unit/function.
• As subject area expert, provides comprehensive, in-depth consulting and leadership to team and partners at a high technical level.
• Carries out activities that are large in scope, cross-functional and technically difficult.
• Role is balanced between high level operational execution and development, and execution of strategic direction of business function activities.
• Leading continuous monitoring meetings with business and Audit Services management.

Qualification and Skills

• 11 to 15 years’ experience in internal audit in the financial services industry is preferred but not mandatory
• Comprehensive knowledge of internal audit processes such as sampling, testing, and process/control walkthroughs with strong work paper documentation skills.
• Proficiency in Microsoft Office applications; experience with audit work paper applications preferred
• A College or University degree and/or adept auditing experience in a financial institution, or similar public accounting experience
• Professional certifications (e.g., CPA, CIA, ACA, CFA, ACCA) and/or an MBA along with demonstrated technical abilities in select areas (e.g., accounting, regulatory compliance, etc.) are preferred but not mandatory
• General knowledge of the operations, functions, and objectives of interfacing areas is required to properly perform audits on operations, services, systems, workflow, and operational impact on other areas
• Proven ability to work independently and in a team environment
• Strong organizational and time management skills
• Must be flexible and adaptive to change

Working with Us

As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to an inclusive workplace and assisting the communities we serve.

Philanthropy is deeply rooted in Northern Trust’s history and is an essential element of our culture. Employees around the world give their time and talent to work for the greater good of their communities.

Reasonable Accommodation

Northern Trust is committed to working with and providing adjustments to individuals with health conditions and disabilities. If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at MyHRHelp@ntrs.com , or alternatively you can discuss your individual requirements with the recruiter you are working with.

About Our Bangalore Office

The Northern Trust Bangalore office, established in 2005, is home to over 5,600 employees. In this stunning office space, we offer fantastic amenities which include our Arrival Hub - Jungle, the GameZone, and the Employee Experience Zone that appeal to both clients and employees. Learn more.