Senior Auditor - Wealth Management

London (Greater)
£65,000 - £70,000
11 Jan 2019
10 Feb 2019
Contract Type
Full Time
0-25% Travel

The Wealth Management (WM) internal audit team, which comprises a Head of Internal Audit, an Audit Manager and two Internal Auditors, has responsibility for the execution of audits across all businesses and locations in the Wealth Management Division. (Main locations include Zurich, Guernsey and Singapore).

Resource is shared across GIA and team members will support internal audits in other areas of the business, with subject matter expertise, and additional resource, drawn from the co-source arrangements with external firms, where necessary.

Overview of role
The 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.

As a member of a small, dedicated WM GIA team a Senior Internal Auditor will be expected to take a leading role in the planning and delivery of all aspects of audit assignments, including reporting.  As well as periodic audit reviews, where required you will be expected to undertake investigations, thematic reviews and special projects. There will also be opportunities to assist or perform audits within the Asset Management team as appropriate. You will work with all members of GIA to ensure all stakeholders incl senior management are provided with an exceptional internal audit service.

Duties will include

• Successfully delivering audits across the Wealth Management division, ensuring the quality of work completed and outputs produced, including adherence to the relevant professional standards
 • Managing the tracking of issues and actions arising from internal audit work
• Attendance at, delivery to, and input to the production of reports for the various governance Committees of the Wealth Management Division and Group
• Maintaining effective relationships with staff at all levels of seniority in the Wealth Management Division and also the wider Group
• Responding to business requests for support and assistance
• Undertaking special projects and investigations as required and also delivering divisional compliance monitoring autonomously
• Provision of data in relation to control activities, incl to support business development by Schroders

• Involvement in the development and maintenance of the procedures and methods for the work of the Group Internal Audit function


Essential Skills
• Extensive experience within the asset management, wealth management or private banking industries
• Strong understanding of the risks involved in developing and managing products across the range of wealth management and private banking services
• Strong understanding of the risks involved and required controls across the full extent (end to end) of processing activities 
• Strong understanding of the UK regulatory environment of private banking 
• Strong understanding of all aspects of products used in wealth management
• Excellent communication and report writing skills
• The ability to work effectively with senior management
• First class project and staff management skills
• Significant experience at a senior level in Internal Audit
• Fully qualified - a relevant auditing or accounting qualification
• Ability to travel in the UK and overseas for up to 25% of your time
Desirable Skills

• English is essential as language. The knowledge of other languages used within Schroders group will be considered to be an advantage

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