Private Wealth Management Senior Auditors are responsible for executing control testing primarily focused on operational risk to support the Private Wealth Management Line of Business as a member of the core team. Audit duties will encompass process documentation, risk identification, internal control identification, internal control evaluation, and assisting in the preparation of audit reports highlighting audit issues and relevant process enhancements. This involves responsibility for assigned audit testing and providing assistance to develop project and testing plans that effectively incorporate appropriate risks, scope, deliverables, timelines, and client availability. Candidate will deliver audit updates and results to applicable parties through timely and crisp verbal and written communications. In addition, candidate will be responsible for helping educate other auditors on relevant risk concepts, audit processes, business knowledge, and provide consultation as needed.
Other responsibilities include staying abreast of applicable regulations and relevant industry trends, reviewing management reporting, and assisting in the design and execution of technology-enabled continuous risk monitoring and auditing solutions that impact the planning of audit activities.
A strong candidate for this role will be a self-starter with a strong desire to learn quickly in a dynamic team based environment. They will need to have strong written and verbal skills as well as the ability to create Visio based process maps and narratives based on the knowledge they gain during their interviews with process owners.
Knowledge of auditing principles, practices and methodologies including understanding of audit principles that govern objectivity and independence.
Ability to quickly understand complex, new and dynamic processes.
Ability to juggle multiple work efforts and to quickly change direction, as needed
Total competency in teamwork
Basic knowledge of client relationship management and basic knowledge of project management.
Self-motivated, operates with a sense of urgency and strong attention to detail
A candidate will have a Bachelor's degree and/or Master’s degree and a minimum of 3-7 years of professional experience.
Proven experience with MS Office, particularly Excel and Visio.
Professional certification such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA), and/or other risk management certification.
Direct experience in internal or external audit.
Basic knowledge of operational environments within a bank, registered investment adviser or broker dealer including basic knowledge of the body of regulation and laws which apply to the respective businesses.
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