Lead Auditor

Primary Duties and Responsibilities

• Technical authority on Retail Investments and Compliance, Institutional Investments and Accounting, or Insurance Business Operations and serves as a resource for Corporate Audit staff and business partners on risks and controls.

• Leads audits and consultations by scanning for and assessing risks of a given area, documenting controls, and developing testing plans to address the risks, completing high risk testing, reviewing testing performed by staff, and drafting issues and reports. Will also assess risks posed by business area and assesses the frequency and depth of future audits.

• Works with leadership on planning and scheduling audits on their team. Runs audits and projects to assure that budgets and timelines are established and adhered to and monitors staff assigned to project to ensure objectives are met.

• Evaluates alternatives and recommends solutions based on industry and regulatory knowledge, addressing areas of identified non-compliance or where control improvements can be made while considering the impact of change within the business area.

• Communicates the audit process, objectives, timing, and outcome to business partners, senior management and where appropriate to entity audit committees and boards.

• Participates with team leadership on department-wide initiatives as applicable. Applies industry, regulatory, and organizational knowledge to recommend process improvements for their core area or the department and works with the leadership to implement changes.

• Provides mentoring, training, and feedback to staff in area of expertise, audit technical matters, and for personal development. Provides input to leadership on staff evaluations.

• Develops and maintains positive relationships with the business to assure key communication needs are addressed and expectations are managed while maintaining professional standards. Leads communication plan regarding the final report business collaborators with limited guidance from department leadership by articulating risks identified, recommending solutions, and effectively inspiring changes to policies or procedures.

• Participates and provides control consultation on corporate projects and committees (leading where appropriate) in areas of expertise.

• Supports the department's internal quality review process by performing quarterly quality assessments and providing the results and suggestions for improvements to Corporate Audit the leadership team.

• Leads efforts to work collaboratively with business partners to close audit issues through the department's Proactive Issue Management process for core areas of responsibility.

Qualifications

• Bachelor's degree in Accounting, MIS, Risk Management, or other Business subject area.

• Minimum of eight years of diverse experience in Audit or Financial Services industry of which at least four years of lead auditor or proven experience managing and leading complex, cross-functional projects is required. The remaining experience may be in some combination of business-specific experience such as regulatory, financial, information technology, or other relevant business experience.

• Strong analytical and decision-making skills. Demonstrated leadership skills and ability to lead others without direct authority, influencing a broad audience to adopt a particular strategy or direction.

• Strong project management skills and ability to run corporate-wide audit projects or process improvement initiatives with a high degree of self-motivation and initiative.

• Ability to negotiate and build consensus in a way that enables groups of people with diverse perspectives to accept a majority or common conclusion.

• Ability to adapt to change, deal with ambiguity and adjust their work to meet changing needs and information. Confirmed ability to build rapport and exercise tact, diplomacy, and understanding of internal customers.

• Experience coaching and mentoring employees or previous experience as a people manager. Candidate must also have certification relevant to position (CPA, CIA, CIDA, FLMI, CISA or CISSP) or be willing to acquire in an agreed upon timeframe.

Benefits

Great pay package, 401K, Company sponsored retirement plan, Educational assistance, Performance based incentive pay, Medical, dental and vision insurance, Parental leave, Caregiver time off.and more

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Northwestern Mutual pays on a geographic-specific salary structure and placement in the salary range for this position will be determined by a number of factors including the skills, education, training, credentials and experience of the candidate; the scope, complexity as well as the cost of labor in the market; and other conditions of employment. At Northwestern Mutual, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. Please note that the salary range listed in the posting is the standard pay structure. Positions in certain locations (such as California) may provide an increase on the standard pay structure based on the location. Please click here for additiona l information relating to location-based pay structures.

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.

If you work or would be working in California, Colorado, New York City, Washington or outside of a Corporate location, please click here for information pertaining to compensation and benefits.