Our prestigious client is a global organisation, market leading for positions across an area of expertise largely under the umbrella of banking and finance.
This is an exciting opportunity for a Audit Manager to join their busy Fund Solutions area of the business. Based in their Leeds office, you will be responsible for the on–going control environment within the Transfer Agency (TA).
Working with the TA Leadership group, the Audit Manager will monitor and report on all controls established within the Transfer Agency, ensuring that relevant updates to procedural documentation are completed and published. You will also need to consider any risk implications with these, and make sure that procedures are being followed by operational staff.
- Engage stakeholders to facilitate the review, recommendation and implementation of risk reduction controls throughout TA
- Establish best practice and governance for the control environment to support operational delivery, regulatory adherence and risk management
- Provide regular status updates to Heads of Department and TA Director, communicating clearly and timely any obstacles which could hinder delivery
- Embed a strong belief and adherence to control environment throughout the department
- Act as a contact point for all monitoring visits managing the content, recommendations and all actions agreed to ensure immediate implementation and continued delivery
- To have oversight and contribution to all proposed changes to Transfer Agency, including product launches / fund wind up and wider change programmes and new clients
- To be actively involved from a control perspective in scoping of business requirements and specification documents supporting business analysts / project teams
- Sign off for change documentation, business flows as per current and future processes to ensure appropriate controls are in place mitigating risk where possible
Our client wants their employees to become well–respected industry professionals, so as part of the role they will be offering full study support for the Investment Operations Certificate. They will provide books, regular lecturing, mock exams, study leave and a community that can really support you through your studies. The IOC forms part of the Chartered Institute of Securities and Investment and is recognised as a Professional Qualification in over 50 countries.
This Audit Manager role is ideal for a candidate with experience working in the banking/finance sector, with a good knowledge of the investment industry and practices.
Candidates must have:
- Audit/Compliance monitoring background
- Stakeholder relationship management
- Demonstration of effective communication both verbal and written in order to effectively deliver technical elements of the role to a varied audience
- Analytical experience in order to identify trends and improvement opportunities
- Solid understanding and application of MS Excel and PowerPoint
- Knowledge of Transfer Agency
- Willingness to study and attain Investment Operations Certificate
- Strong understanding of Fund Solutions' activities and products (desired)
- Experience of monitoring a Transfer Agency business (desired)
- Investment Operations Certificate (desired)
Benefits of working for our client include:
- Parking on site
- Subsidised canteen serving breakfast and lunch
- Subsidised high street coffee shops on site
- Free shuttle service from Leeds Bus Station and Leeds Train Station twice an hour from 6AM to 11PM
- Free office fruit baskets delivered twice per week
- Within walking distance of the White Rose Shopping Centre
- Easy access to M62, M621 and a 5–minute drive to Leeds City Centre
This role is due to relocate to Leeds City Centre as part of a phased move beginning in October 2019 and happening throughout 2020. They are currently set to complete the relocation by the end of 2021.
Candidates will be required to attend THE Agency offices in Cleckheaton, to register and complete a short interview. If shortlisted, candidates will be required to attend an interview with our client.
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