Senior Lead Auditor at Ameriprise Financial in Gurugram, Haryana, India

Job description

• Plan and execute basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities and presenting 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. Supervise and lead assigned projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work.

Responsibilities

• Be responsible for planning and executing basic to complex portions of the Risk and Control Services plan, including audit activities and SOX/MAR/FDICIA compliance activities.
• Present work objectives and results to various levels of management that focuses on the impact of control deficiencies.
• Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes.
• Complete risk assessments in conformance with department standards, generally in moderately complex areas.
• Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations. Monitor and validate Management Action Plan status. Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
• Supervise and lead assigned projects. Provide leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work. Ensure work is completed within established timelines.
• Coordinate with the appropriate control groups in planning and executing assigned work. Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines.
• Recommend changes to Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.

Requirements

• Candidate must have at least 7-10 years of relevant Internal Audit Experience.
• Experience in External audits would be an added advantage.
• CA, CPA, CFA or MBA would be preferred

Skills

Required

• Internal Audit
• SOX/MAR/FDICIA compliance
• Risk assessment
• Control deficiency identification
• Project management
• Leadership
• Communication with management

Preferred

• External audit experience