Position Summary

Guggenheim Investments is seeking an exceptional candidate to join the Internal Audit group. Reporting to the Head of Audit, the Audit Manager assist in the planning and execution of audits across the firm. This will entail researching business units and services they engage in and identifying relative risks; executing fieldwork, including business unit interviews; documentation and testing of processes and controls; and, assisting in the drafting and vetting of findings, issues and related actions plans.

The position is based in our New York Office.

Responsibilities

Key Responsibilities

• Leads audits and projects across the full spectrum of the audit cycle. This includes:
• Planning - identification and evaluation of key processes, risks and controls, preparation of audit programs and other procedures to test controls;
• Executing fieldwork - leads stakeholder interviews, documentation (e.g., process narratives, walkthroughs, testing, etc.) and review of staff workpapers;
• Reporting - draft audit findings, issues and related actions plans; and
• Preparation and communication of action plans to remediate any control deficiencies.
• Completes key deliverables, including Audit Announcement Memos, Audit Planning Documents, and Audit Reports.
• Monitors and reports on the disposition and status of action plans and conducts substantive tests of compliance as necessary.
• Monitors audit budgets and other key metrics and takes correction actions, including timely escalation to Internal Audit Management.
• Establishes and owns relationships with the business line and control functions.
• Takes ownership and accountability for components of the audit universe, providing updates to the risk assessment and keeping it evergreen by monitoring new activities, technology and processes.
• Strong knowledge of industry and product-specific developments.
• Fosters relationships with coworkers and collaborates with team members.
• Supervises junior staff members in the execution of audits and projects; delegates tasks in a constructive and supportive fashion.
• Assesses gaps in Internal Audit practices and proposes solutions.
• Promotes, and is an ambassador of, the Internal Audit function.
• Promotes and engages in the firm’s commitments to Corporate Social Responsibility and Diversity and Inclusion.
• Operates within guidance addressed in Institute of Internal Auditors’ Standards and Code of Ethics.

Qualifications

Basic Qualifications:

• Eight plus years of experience working as an auditor covering registered investment adviser business functions (e.g. portfolio management, research, operations, sales/distribution, compliance, finance) including a strong appreciation for the regulatory framework.
• Experience with information technology (IT) audit as it relates to IT general controls (application and infrastructure), logical access, change management, data integrity and business continuity controls.

Preferred Qualifications:

• A CPA, CIA or CISA certification (or pursuing) is preferred.
• Must understand internal auditing theory and techniques, including types of controls and testing procedures as well as related work paper standards; ; can independently evaluate the adequacy of the controls in the context of relative risks.
• Strong organizational and documentation skills (ability to write succinct and cohesive process narratives, issue statements, findings and action plans).
• Strong and efficient communication and influencing skills (oral and written), confident and capable of presenting in a clear and compelling manner to stakeholders, both in-person and working remotely (e.g., performing walkthroughs and stakeholder interviews, vetting findings).
• Excellent writing and documentation skills (ability to write succinct and cohesive process narratives, issue statements, findings and action plans).

Salary Range

Annual base salary between

$140,000.00-$160,000.00

The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.