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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive experience in executing risk-based audit plans within the wealth management sector, with a strong focus on investment, advisor, and trust-related audits. Capable of leading audit engagements, providing strategic insights, and fostering a collaborative team culture while ensuring compliance with regulatory expectations.
Highest-signal resume keywords
Risk-Based Audit ExecutionWealth Management Business PracticesInternal Audit ExperienceProject Management SkillsProfessional Certification (CFA, CFIRS)
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Audit Lifecycle ManagementAudit Report PreparationRisk AssessmentStakeholder CommunicationAudit Engagement Oversight
Soft Skills
Interpersonal SkillsPresentation SkillsCoaching and MentoringIndependent WorkAdaptability
Certifications & Qualifications
CFACFIRS
Industry Keywords
Private Wealth ManagementInvestment AuditsTrust ActivitiesRegulatory ComplianceGovernance
About the role
Key responsibilities & impact- Execute a risk-based audit plan addressing significant risks across the Private Wealth Management portfolio
- Support Audit leadership in developing and executing a comprehensive audit plan
- Provide third-line-of-defense coverage aligned with regulatory expectations
- Oversee multiple audit engagements, including project plans, risks, scope, resources, deliverables, timelines, budgets, and stakeholder availability
- Translate business strategies, initiatives, and emerging developments into risk-sensitive audit approaches
- Lead complex audits and provide strategic insight to management
- Prepare and review meaningful, relevant, and well-supported audit reports
- Communicate audit findings clearly to stakeholders at various management levels
- Build trusted relationships with management and business partners
- Participate in select U.S. region committees
- Provide advice on business risks, controls, and governance
- Lead, coach, and mentor audit professionals
- Guide audit work through all phases of the audit lifecycle
- Expand team knowledge of wealth management industry practices
- Foster a collaborative, high-performing team culture aligned with professional standards
Requirements
What you’ll need- Bachelor's degree in Accounting, Finance, or a related field
- 10+ years of progressive experience
- Internal audit experience within a large U.S. bank, wealth management firm, or registered investment advisor
- Experience focused on investment, advisor, and trust-related audits
- Deep knowledge of wealth management business practices, risks, and controls, including investments, advisory services, and trust activities
- Strong written, verbal, interpersonal, and presentation skills
- Ability to work independently in complex environments
- Ability to manage shifting priorities effectively
- Strong project management skills and professionalism
- Professional certification such as CFA, CFIRS, or relevant securities licenses is an asset
- Ability to travel up to 15%
- Legally eligible to work at the specified location(s)
- This position is not eligible for employment sponsorship
Benefits
Comp & perks- Incentive compensation plan, which may include a discretionary bonus component
- Medical insurance
- Dental insurance
- Vision insurance
- Health Savings Account
- Life Insurance
- Disability Insurance
- Other Insurance Plans
- Paid Time Off, including Sick Leave, Parental Leave and Vacation
- Holidays
- 401(k)
- Banking benefits
- Wellbeing support
- MomentMakers social, points-based recognition program
- Purpose Day, a paid day off dedicated to personal growth and development
- Flexible hybrid work arrangement
- Accessible candidate experience and accommodations