Bank of America Audit Manager- Investment Management in Charlotte, North Carolina
Oversees and executes assigned areas of audit work, providing day to day coaching and guidance to teammates. Executes audit strategy for the sound application of risk based auditing by defining audit scope, audit program, and test procedures. Typically acts as Auditor-in-Charge (AIC). Demonstrates strategic thinking and supports change. Oversees audit testing to ensure timely execution within quality standards and conformance to audit policies and procedures. Assesses issues for impact to business processes, controls and strategies, recommends severity ratings and escalation of broad themes or trends. Drafts quality and timely audit reports and shares results with business leaders. Manages business partner relationships when conducting specific audits; primary engagement is with line management. Exercises critical thinking and judgment to effectively influence management to improve the control environment. When leading an audit engagement, is responsible for day to day coaching, mentoring, and performance feedback. Fosters an inclusive work environment.
Provides expertise, advice and counsel based on advanced business and/or audit experience within wealth management and investment
management complex businesses.
Provides leadership for projects and audit activities over underlying processes that support investment advisory services and portfolio and
asset management activities.
Proactively implements audit strategy for the sound application of risk based practices
Exercises judgment and influences the business and peers.
Build and maintain key relationships with stakeholders.
Required Skills :
At least 5 years of asset/investment management experience in audit, the line of business and/or other related
control/risk/compliance function experience
Broad knowledge of asset/investment management services and supporting operations within a wealth management business
including portfolio management, portfolio construction, trading, and wealth advisory services
Knowledge of applicable laws and regulatory requirements including banking (OCC 12, CFR 9) and broker/dealer regulations
Excellent communication skills; Verbal / Written Communication (Executive Summary)Proficient work paper review skills
Excellent risk assessment skills
Ability to influence your business partner
Strong project management skills
Strong coach and trainer
Associate performance management
Displays personal courage and makes difficult decisions
Basic Analytical / Automation Skills; Strong understanding of principles
Critical Thinking / Problem Solving
Knowledge of investment advisory services and products to support ERISA/DOL plan sponsors and associated regulatory
CFA, Certificate in Investment Performance Measurement, Certified Trust and Financial Advisor, CIA, or other investment
related certification or licensing, MBA or CPA
Posting Date : 08/28/2018
Wilmington, DE, BRACEBRIDGE II, 1020 N FRENCH ST,
Pennington, NJ, HOPEWELL BLDG. 5, 1500 AMERICAN BLVD,
Charlotte, NC, BANK OF AMERICA PLAZA, 101 S TRYON ST,
- United States
Travel : Yes, 20% of the time
Full / Part-time : Full time
Hours Per Week : 40
Shift : 1st shift
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