Job Description

Position

We are seeking a Senior Auditor with strong fund management audit experience to join our Internal Audit Department (IAD). This position is an opportunity for an experienced professional to join a dynamic team to deliver value added audit services.

The mission of the IAD is to be a world class department which:

• Serves as a trusted advisor
• Provides global audit assurance and advisory services that facilitate risk mitigation and operational excellence
• Employs highly competent, well-credentialed personnel applying audit best practice standards; whose priorities are deeply aligned with the interests of the firm’s clients and unit holders

The Senior Auditor - London, will be a member of the Non-US Internal Audit Group, and will perform activities under the guidance of Audit Management (Audit Director-Europe / MD - Non-US / Chief Audit Officer). The Senior Auditor will primarily be responsible for planning, executing, and reporting audit assignments, in accordance with AB’s IAD methodology, for activities/functions in AB’s European entities, most often in the London office.

Responsibilities

Specific Responsibilities

Assist Audit Management in carrying out the annual audit plan by the following means:

Assist in planning the scope of internal audits. Prepare audit programs and execute comprehensive audits in various operational and financial areas of the company, both domestic and international. Participate in audit planning, progress, and wrap-up meetings. Identify internal control weaknesses, and recommend corrective actions, if required, and follow up on implementation. Prepare audit workpapers that evidence completion of audit and form an adequate basis for the audit report. Prepare drafts of risk control matrices and audit reports.

Assess the accuracy and adequacy of financial information and the Company’s internal control structure by:

Reviewing transactions, documents, records, reports, accounting and operational methodologies. Executing audit test steps. Employing analytical review procedures (ARP’s).

Assist in performing special assignments as requested by senior management and/or the various areas within the Company. This will include:

Gathering financial and operational information Reviewing and analyzing the information Documentation test results and observations.

Assist Audit Management in accomplishing certain administrative tasks:

Preparation of annual risk assessments. Annual audit plan. Commentary for the local governance committees, Board of Directors’ Audit Committee material.

Role Expectations

The Senior Auditor is also expected to:

• Adhere to the policies and procedures of the Group Internal Audit Procedures Manual and make use of automated workpapers.
• Create and foster good relationships amongst auditees and keep abreast of developments and changes in their businesses.
• Keep current as to the development of relevant industry, regulatory and corporate matters that may affect the Internal Audit Department’s audit scope, and the country businesses.
• Supervise and work with associates, as required.

Job Requirements

Education

• A university degree.
• Recognized accountant or internal audit qualification or advanced degree.

Knowledge

• Minimum three years’ experience within financial services, ideally in funds management, although relevant experience in related financial services sectors will be considered.
• Internal audit experience, although similar risk and controls assessment skills gained in business operations, compliance or risk management within fund management will be considered.

Personal Attributes

• Comfortable as an individual contributor on certain assignments and collaboratively as part of a team.
• Excellent project management and administrative skills
• Excellent analytical skills and pro-active problem solver with the ability to thoroughly identify and investigate issues and explain impact and answers the question "so what?"
• Ability to learn something and teach it to others.
• Adaptable. Ability to operate in a diverse, cross-functional and international environment.
• Good influencing, relationship management and team working skills.
• Ability to communicate clearly, concisely and with conviction with all levels of business management and handle confidential information and sensitive matters with tact.
• Well-developed technical skills in use of Microsoft Word, Excel, PowerPoint and Visio. Data analytics capability desirable.
• Fluent verbal and written English. French language skills desirable.

Required Knowledge, Skills, and Abilities

• Minimum three years’ experience within financial services, ideally in funds management, although relevant experience in related financial services sectors will be considered. • Internal audit experience, although similar risk and controls assessment skills gained in business operations, compliance or risk management within fund management will be considered.