VP Audit Manager

4.  Vice President, Audit Manager - This position reports to the Director of Internal Audit to assist in the development, execution, and oversight of the global internal audit program.  Will assist Director to ensure appropriate and effective audit resources, risk assessment, audit, scope, coverage and reporting for the various audit teams.  Key interfaces:  Director of Internal Audit, Senior and Executive Management, Audit Committees of the Firm and the mutual funds.  While this position will assist the Director of overseeing all audit activities, the primary areas of focus will be in the Broker Dealer and Investment Management areas.
Specific duties:
Oversee specific audits performed in the broker-dealer and investment management areas, and other areas as deemed necessary.  Oversee special projects.  Perform periodic reviews of the global risk assessment process and results.  Perform periodic reviews of the global audit universe to ensure completeness.  Assist with recruiting efforts.  Assist with the review of audit observations/issues and draft audit reports for all audit teams.  Assist with preparation and review of periodic reporting to the CEO and the Audit Committee.  Assist with preparation of the dept budget.
Other expectations:
Manage and/or conduct audits as assigned in various audit areas.  Keep current as to the development of relevant industry, regulatory and corporate matters that may affect the firm and the scope of the Internal Audit Dept's work. 
Qualifications:
A Bachelors Degree and either a CPA or MBA.  Need a minimum of 10 years industry experience with a minimum of 6 years audit experience (public or private) within financial services industry.  Experience should be both financial and operational audits.
Experience with a global firm a plus.  Requires very strong knowledge of capital markets, broker dealer and investment management operations.  Knowledge of applicable regulatory requirements.  Knowledge of SEC financial reporting requirements a plus.  Ability to travel domestic and international.