Investment Products and Operations Audit Specialist

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

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.

Primary Duties & Responsibilities:

Primarily conducts audits and project work within Retail Investments practice focusing on investment advisor, broker-dealer, trust bank, and related compliance/supervision activities.
Acts as team member on assigned audits, working under the direction of a lead auditor.
Assesses the efficiency and effectiveness of management's controls to manage risk.
Communicates effectively with business to identify control improvements and advise management in crafting effective controls or changes to business processes.
Utilizes data analytics (ACL, Excel, Power BI, etc.) to perform audit testing and to evaluate, validate, and profile data.
Prepares clear, logical workpapers and drafts language for control improvements identified.
Utilizes time optimally to support multiple audits or projects concurrently.
Demonstrates or develops an appropriate level of organizational, regulatory, and business knowledge.
Establishes and maintains strong, collaborative relationships within the department and with our business contacts.
Contributes to continuous improvement efforts in the department.

Knowledge, Skills, & Abilities:

Undergraduate degree (accounting, economics, business, or other relevant)
Three or more years experience in audit, investment, data analysis, or related business operations.
Demonstrated analytical and problem solving skills.
Basic skills in data analysis to identify data analytic opportunities and to acquire, load, validate, and analyze data.
Demonstrated interpersonal, oral and written communication skills.
Familiarity with project/time management and working in a team environment.
Proven ability to take care of ambiguity and respond to changing business needs.
Ability to build rapport and understand internal businesses clients.
Knowledge of industry and regulatory practices within the insurance area preferred.
CPA, CIA, CIDA, CFE preferred or willingness to acquire.

Compensation Range:

Pay Range - Start:

$56,140.00

Pay Range - End:

$104,260.00

Geographic Specific Pay Structure:

We believe in fairness and transparency. It's why we share the salary range for most of our roles. However, final salaries are based on a number of factors, including the skills and experience of the candidate; the current market; location of the candidate; and other factors uncovered in the hiring process. The standard pay structure is listed but if you're living in California, New York City or other eligible location, geographic specific pay structures, compensation and benefits could be applicable, click here to learn more.

Grow your career with a best-in-class company that puts our clients' interests at the center of all we do. Get started now!

Northwestern Mutual is an equal opportunity employer who welcomes and encourages diversity in the workforce. We are committed to creating and maintaining an environment in which each employee can contribute creative ideas, seek challenges, assume leadership and continue to focus on meeting and exceeding business and personal objectives.

FIND YOUR FUTURE

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

Flexible work schedules
Concierge service
Comprehensive benefits
Employee resource groups

PandoLogic. Category:General, Location:Milwaukee, WI-53205

Related Jobs

Project Manager

Steel Rock Construction • Permanent • Wisconsin, United States • 16h ago

Project Manager

Join Our TeamSteel Rock Construction is more than a company-we're a partnership. We're not just filling a position; we're seeking a dedicated professional who shares our vision and is eager to grow with us. As a leading...

16h ago

Apply

Electrical Maintenance Technician 2 - DC Metro Region with Security Clearance

M.C. Dean • Permanent • Wisconsin, United States • $30 / * • 21h ago

Overview M.C. Dean is Building Intelligence . We design, build, operate, and maintain cyber-physical solutions for the nation's most recognizable mission critical facilities, secure environments, complex infrastructure,...

21h ago

Apply

Electronics Technician 2 - Washington, DC with Security Clearance

M.C. Dean • Permanent • Wisconsin, United States • $30 / * • 23h ago

Overview Your Future at M.C. Dean We're seeking people driven to excellence and inspired to have a meaningful impact powering, automating, integrating, and securing the world's most critical infrastructure and facilities...

23h ago

Apply

Actuary - Assistant Director

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

Summary Provide professional actuarial advice/services critical to development, implementation and maintenance of the Company's insurance, disability, annuity, and long-term care products. The Actuarial Department develo...

1d ago

Apply

Senior Pega Developer

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

Developer

We are looking to hire an experienced Pega developer to design and develop enterprise-level Pega applications for our company. In this role, you will be responsible for the deployment of large-scale Pega projects. This m...

1d ago

Apply

Wealth Oversight & Controls Consultant

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

In partnership with and under the direction of Wealth Risk & Controls Assistant Directors, this role is responsible for supporting, building and advancing relationships while consulting on a wide variety of topics to...

1d ago

Apply

Investment Associate - Private Debt & Equity

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

Northwestern Mutual Capital (NMC) is a committed investor in the private credit (senior & mezzanine) and equity co-investment (common & structured) markets and a leading player in the investment grade privately p...

1d ago

Apply

Mgr Investment Client Srvcs

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

Primary Duties and Responsibilities Manages team and employee development. Includes identifying staffing needs, mentoring and performance management. Communicates purpose, clarifies roles, tasks, milestones, and measures...

1d ago

Apply

Senior Technical Program Manager, Managed Investments Technology

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

Summary: This role will be focused on Northwestern Mutual's Managed Investments Engineering organization, and report to the Principal Program Manager. They will drive metrics and milestone delivery, connecting technical...

1d ago

Apply

Mgr Advisory Trading & Ops

Northwestern Mutual • Permanent • Wisconsin, United States • 1d ago

Summary: Manage the daily activities of Advisory Trading staff within Investment Client Services. Monitor day-to-day work flow/quality, proactively identifying, recommending, and implementing policies/procedure changes a...

1d ago

Apply