Auditor

The Auditor is responsible for the execution of a global portfolio of audit engagements in the area of risk management and compliance. Essential job duties include analyzing controls and associated risk exposures. In addition, this role requires some knowledge of the rules and regulations associated with various regulatory compliance practices around the globe. The role provides technical expertise and performs specific assigned projects for the team
and the department.

The role will execute across a risk management and regulatory compliance portfolio leveraging and sharing the learnings from each audit program. In addition, the Auditor is responsible for workpaper quality, thoroughness, accuracy and timeliness. The Auditor may also execute a broader role across the team in terms of recommending or developing operational efficiencies and/or producing and delivering presentations to assist Partners with understanding root causes of control gaps, industry trends, peer practices, etc.

 

The key responsibilities of the role include:

• Conduct and document audits of the governance structure and internal controls over the risk management and compliance framework such as risk identification, measurement, monitoring, relevant regulatory reporting, and testing key controls within these processes, specifically reliability and quality of data sources, data reconciliations and aggregation.

• Develops and demonstrates an understanding of the business risks, controls, and processes, along with an understanding of relevant laws, regulatory rules and knowledge of the impact of systems within areas reviewed.

• Performs work that adheres to all Policies and Standards (e.g., creates electronic work papers to evidence scope of examination and accuracy of findings); professional auditing standards; and regulatory requirements.

• Apply analytical skills, discussions with the Business and Audit Partners and the risk assessment process to properly identify key risks and controls, audit scope, and testing approach within an audit or other project.

• Accurately designs and executes the testing approach and ensure that workpaper
  documentation is clear, concise, supports the reviews performed, and explains decisions made during the project.

• Communicates with management, including leading efforts to discuss the business/risk environment and issues/risks raised during the review, along with providing periodic updates, to the status of the project.

Knowledge/Skills

• Experience gained working in an Audit, Risk or Compliance function within a financial services company or consulting firm. 

• good working knowledge of a variety of EMEA regulations / EU Directives (Criminal Justice (Money Laundering and Terrorist Financing) Act, Consumer Protection Codes, Market Abuse Rules, Data Protection Acts etc.)

 

About Northern Trust

 

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 16,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.

 

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

 

Northern Trust proudly cultivates a diverse workforce, to serve our diverse client base. We strongly believe that diversity of experience contributes to a broader collective perspective that will consistently lead to a better company. We encourage applications from the best regardless of ethnicity, gender, gender identity, age, nationality, disability, sexual orientation, education, socio-economic background, parental and caring status, or religion.