Auditor - Investment Management (Max $74/hr W2)

Hybrid role - Please note this assignment should run until October

The resource will provide general audit support to the IAD-Investment Management team
Scope and Deliverable Details
Audit Execution:
• Data gathering and analysis
• Control Testing
• Leading walkthrough meetings to obtain understanding of processes and controls
• Documentation and evidencing, including narrative documentation, test of ones, fieldwork leadsheets
• Stakeholder communication

Closure Verification support for Action Plans:
• Perform initial review and control design walkthroughs to identify and document key processes, risks, and controls
• Assist with preparing the Initial Review Memo and Design Review Memos
• Develop, execute, and document control design testing related to the process design and controls design
• Develop, execute, and document control operating effectiveness testing related to the control’s implementation and execution
• Meet with Brokerage employees and contractors to comprehend policies, processes, and controls
• Report the outcome of meetings and discussions to the Authorized Brokerage Employees
• Review and validate evidence to determine the effectiveness of controls
• Submit design and operating effectiveness testing conclusion workpapers
• Finalize closure verification testing results for the team to review and upload to OpenPages
• Perform issue closure verification procedures including control update testing if necessary

Skillsets & Experience Required
• Perform initial review and control design walkthroughs to identify and document key processes, risks, and controls
• Assist with preparing the Initial Review Memo and Design Review Memos
• Develop, execute, and document control design testing related to the process design and controls design
• Develop, execute, and document control operating effectiveness testing related to the control’s implementation and execution
• Meet with Brokerage employees and contractors to comprehend policies, processes, and controls
• Report the outcome of meetings and discussions to the Authorized Brokerage Employees
• Review and validate evidence to determine the effectiveness of controls
• Submit design and operating effectiveness testing conclusion workpapers
• Finalize closure verification testing results for the team to review and upload to OpenPages
• Perform issue closure verification procedures including control update testing if necessary
• 4-6 years’ experience