Senior Auditor

Website Ameriprise Financial

Job Description:
Plan and execute portions of the Risk & Control Services plan, including audit activities and SOX/MAR 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. This position will play an important role on the Data Analytics team within Risk & Control Services to support audit engagements, SOX/MAR activities and department reporting using analytic software for data extraction, analysis and automation.

Responsibilities:

  • Plan and execute portions of the Risk & Control Services plan, including audit activities and SOX/MAR 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 Qualification:

  • 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 Qualification:

  • Proficiency in Excel (e.g., formulas, pivot tables, macros, VBA) and Access.
  • Demonstrated expertise in computer and IT systems.
  • Proficiency in data analysis software (e.g., ACL (Audit Command Language), Arbutus, Tableau, R, Python, SAS, SQL).
  • Demonstrated ability to use software tools to support analysis and automation of processes.
  • Ability to undertake self-directed learning to understand processes and systems.
  • Accounting, Finance, Management of Information Systems, Computer Science, Mathematics, Statistics or related degree.
  • CIA, CISA, CPA, CFSA or analytic software certifications.
  • Strong oral and written communication skills.
  • Strong organizational and analytical skills.
  • Strong knowledge of data management.

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