Bank Of America Senior Auditor 

United States, North Carolina, Charlotte 

701307929

Responsibilities:

• Responsible for evaluating the design and execution of business processes/controls associated with Wealth Management activities (e.g. Private Bank and Merrill Wealth Management). Project areas include testing processes and controls within Investment Products, Portfolio Construction, the Chief Investment Office, Financial Advisor Activities, Banking Product Sales, Licensed Supervision, Registration & Licensing, Data Management, Trust and Estate Settlement Services, Philanthropic Solutions, among other Wealth Management areas. Additional activities would include data extraction from multiple sources, documenting audit work, and validation of business remediation activities associated with open issues. Typically works on projects of moderate to high complexity that would involve learning (regulatory regime, business model, processes) on each new assignment.

• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and leverages automation and innovative methods in a timely and high quality manner

• Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment

• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings

• Supports the development of peers and teams through on-the-job-training and fosters an inclusive work environment

• Establishes business partner relationships, primarily with line management, to develop business knowledge

• Uses innovative tools to complete audit activities more efficiently (e.g., testing)

Skills:

• Analytical Thinking

• Project Management

• DataManagement/Technology

• Technical Documentation

• Attention to Detail

• Business Acumen

• Relationship Building

• Coaching

• Critical Thinking

• Written Communications

• Internal Audit Review

• Issue Management

• Risk Management

• Audit Planning

Required Qualifications:

• Highly preferred to have 1+ years although not required and/or CPA, SIE or CFIRS certified a plus

Desired Qualifications:

• Ideal candidate would have experience with financial services audit/compliance and/or front-line wealth management experience