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Senior Auditor - Wealth Management Team at Wintrust Financial Corporation

Posted in General Business 30+ days ago.

Type: Full-Time
Location: Rosemont, Illinois





Job Description:

Founded in 1991 with the idea to be the alternative to the big banks, Wintrust has since grown into a financial services company with more than $45 billion in assets, headquartered in Rosemont, Illinois. Through our multiple companies and divisions, we provide traditional community banking and commercial banking services, wealth management solutions, commercial and life insurance premium financing, mortgage origination, and short-term accounts receivable financing and certain administrative services, such as data processing of payrolls, billing, and treasury management services. We provide community-oriented personal and business banking services to customers located in the greater Chicagoland area, northwest Indiana, and southern Wisconsin through more than 175 community bank locations.

Description:

Internal Audit at Wintrust Financial Corporation independently and objectively assesses processes to evaluate the adequacy of the design and effectiveness of internal controls. Internal Audit is responsible for providing assurance and guidance across all lines of business (i.e. core banking – deposits / lending, mortgage lending, wealth management – broker dealer / advisory / trust, leasing, insurance premium finance, payroll financing) and corporate functions (i.e. accounting / finance, compliance, risk management, information technology, information security). Team members are encouraged to think creatively, challenge current processes, build relationships, identify and evaluate emerging risks, and hold themselves and teammates accountable in a flexible and delivery driven environment.

Wintrust is looking for a highly self-motivated, creative and enthusiastic professional to join the Wealth Management audit team. This position will be responsible assisting with the planning and completion of wealth management audit activities; however, will also assist in other audit engagements as assigned by audit management. The role will work in a collaborative environment to execute the audits while occasionally working independently with supervision.

The position will work closely with audit team members, internal audit clients, risk management and compliance functions within the organization, as well as external parties where applicable. The role is based in Rosemont, IL with occasional travel to banking and non-banking locations in and outside of the Rosemont area.

Responsibilities:


  • Perform various roles on audit engagements based on the needs of the team, including leading and/or staffing audits

  • Work closely with audit manager and team members to develop and execute audit planning and fieldwork

  • Assist with the completion of required planning documentation, perform process walkthroughs, and draft risks, controls, and test programs

  • Execute testing in accordance with department and IIA standards producing clear and concise documentation that aligns with test objectives

  • Apply analytical skills to review information, assess audit results, and evaluate adequacy of controls

  • When acting as the Auditor-in-Charge, will be responsible for leading audit engagements, assisting in the development / refinement of the scope of the audit, devise an appropriate testing approach, ensure workpaper quality, and audit completion timeliness

  • Effectively communicate audit results, both verbally and in writing, to team members and stakeholders

  • Conduct validation testing of the audit issue action plans completed by the business units

  • Maintain professional standards as defined by IIA, Internal Audit Charter, and company policies

  • Develop positive working relationship and maintain effective communication with audit leadership team, audit team members, audit clients, and key stakeholders

Required Qualifications:


  • Minimum of a bachelor’s degree, from an accredited college or university, with a major in Accounting, Business Administration, Finance or related field of study

  • Minimum of 4+ years of relevant audit experience in internal audit

  • Strong knowledge of internal audit processes (i.e. sampling, testing, and process/control walkthroughs) with strong workpaper documentation skills

  • Ability to multitask, prioritize and demonstrate project management skills

  • Continuous improvement mindset

  • Understanding of risks and internal controls and the ability to evaluate and figure out adequacy and efficiency of controls

  • Team-oriented individual and able to work independently, when needed

  • Strong leadership skills – ability to influence and motivate others

  • Excellent time management skills and attention to detail

  • Proficiency in Microsoft Office applications

Preferred Qualifications:


  • Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or some other relevant certification or working towards certification.

  • Experience working in an Internal Audit department (or public accounting firm) at a bank or financial institution focusing on audits of the wealth management or trust program (fiduciary account administration, investment management, etc.) or at a banking regulatory agency with experience overseeing wealth management areas

  • Knowledge of US banking regulations, including 12 CFR Part 9 - Fiduciary Activities of National Banks

  • Experience in financial services, Asset Management and / or Broker-Dealer operations

  • Experience in utilizing computer-assisted audit tools and techniques and internal audit management software (TeamMate+)

Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, citizenship status, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.





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