- CDI, Plein-temps
- Schroders Investment Management
- Londres, Angleterre, Royaume-Uni
- Not Specified
Internal Audit Manager
Schroders’ Internal Audit function has 16 staff, led by the Head of Group Internal Audit. The function is responsible for all internal audit activities for the Group. It has recently taken on additional responsibility for the delivery of aspects of the Group’s thematic compliance monitoring
Schroders’ Internal Audit function has 16 staff, led by the Head of Group Internal Audit. The function is responsible for all internal audit activities for the Group. It has recently taken on additional responsibility for the delivery of aspects of the Group’s thematic compliance monitoring programme, with particular emphasis on global thematic monitoring assignments.
Overview of role
As Schroders’ Internal Audit function has a global remit you will be required to work both in the UK and overseas. The team has a high profile, and the work undertaken is complex and often time pressured, and will in many cases have significant impact upon ongoing activities within the Group.
This role has arisen as a result of an increase to Internal Audit’s headcount following the take on of its new compliance monitoring responsibilities referred to above. The role, however, will incorporate both internal audit and compliance monitoring activity, with projects (whether audits or monitoring reviews) being allocated to staff by the function’s senior management team.
To support the function in carrying out its additional compliance monitoring duties, the candidate must have a good working knowledge of the UK regulatory environment as it applies to asset management firms.
You will be expected to take a leading role in the planning and delivery of all aspects of internal audit and compliance monitoring assignments, including reporting. As well as internal audits and thematic compliance monitoring reviews, where required you will be expected to undertake investigations, thematic reviews and special projects.
Duties will include:
• Planning and scheduling of work with the business.
• Performing risk-based internal audit and compliance monitoring reviews (and, where required, investigations, thematic reviews and special projects) from end-to-end including planning, fieldwork and reporting.
• When undertaking internal audit and, in particular, compliance monitoring reviews, ensuring relevant aspects of the regulatory environment applicable to each area of the business is considered. This should not be limited to the requirements of the FCA or PRA but should include any other appropriate regulation such as Inland Revenue, SEC requirements etc.
• Ensuring the quality of work completed and outputs produced, including adherence to the relevant professional standards.
• Keeping your line manager informed of progress and any impacts on the originally agreed time budget deadlines.
• Managing the tracking of issues and actions arising from internal audit and compliance monitoring work.
• Maintaining relationships with key managers in the business.
• Experience of working in an established asset management business.
• Good working knowledge of the regulatory environment applicable to the asset management industry
• Experience of identifying and reporting control and regulatory issues in the context of an asset management function.
• Excellent communication skills, including report writing capabilities.
• The ability to work effectively with senior management.
• Self-motivated and delivery focussed.
• Ability to travel overseas for up to 20% of your time.
• A relevant auditing or accounting qualification.
• Experience of working within an asset management Compliance Monitoring function.