Investment Products and Operations Audit Specialist

Summary:

Incumbent conducts audits and project work of low to moderate complexity within Retail Investments audit practice. Supports multiple audits/projects concurrently. Executes audits related to a variety of business activities, processes and operations, performs a broad and comprehensive analysis to identify business risks, and develops audit programs to evaluate internal controls related to financial risks, operational activities, and compliance requirements. Presents audit and project recommendations, discusses their implications and builds consensus with management. Provides business and audit related technical expertise and consulting support to business clients regarding internal controls in core area.

• Conducts audits and project work within Retail Investments practice focusing on investment advisor, broker-dealer, trust bank, and related compliance/supervision activities. Serves as a team member working under the direction of a lead auditor.

• Plans, organizes, and conduct the audits in core area and reviews progress against audit objectives; assures departmental and professional quality standards are met. Demonstrates strong audit skills, business area expertise and a core understanding of project management concepts.

• Understands the business structure in their area. Places audit work in business context through understanding of business objectives. Builds trusted relationships within the department and with clients in multiple business units to ensure key audit goals are addressed and client expectations are managed appropriately.

• Consults on client initiatives to assist management in designing or implementing changes to business processes.

• Understands business and organizational structure and business objectives in core area.

• Provides technical expertise and consulting support to management on business and control issues related to core area in order to establish/maintain reputation as business level consulting resource within Retail Investments audit practice.

• Identifies process improvement opportunities within the scope of assigned audits/projects. Facilitates the analysis and evaluation of recommended solutions to meet client needs. Identifies, recommends and facilitates the analysis, evaluation, and implementation of department process improvements.

• Undergraduate degree relevant to internal audit (Accounting, Business, Economics, etc).

• CPA, CIA, CISA or CISSP preferred.

• Five or more years experience in an auditing, compliance, or position related to Retail Investment audit practice .

• Strong skills analyzing data in connection with audits, compliance or risk management.

• Significant experience using data analytics tools (Excel, ACL, etc.)

• Strong analytical and problem solving skills

• Strong oral and written communication skills.

• Project management skills.

• Knowledge of industry and regulatory practices and procedures within Retail Investment audit practice, including relevant specialty designations. (e.g. CIDA, Series 7 or Series 6, CLU, CFE, CIFRS)

• Strong interpersonal, teamwork and conflict resolution skills.

• Proven ability to deal with ambiguity and respond to changing business needs.

• Proven ability to build rapport and exercise tact, diplomacy and understanding of internal customers.

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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 c lick here for additional 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.

We're excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.

• Flexible work schedules
• Concierge service
• Comprehensive benefits
• Employee resource groups