Neuberger Berman Group LLC
Internal Audit
Neuberger Berman Group LLC, New York, New York, us, 10261
Neuberger Berman is a global firm that delivers comprehensive investment management products and services to a broad base of clients. This includes UCITS funds, Mutual Funds, Private Funds, separately managed institutional accounts and wealth management services. Investment management strategies and products cover a spectrum of traditional and alternative asset classes and risk/return profiles.
Responsibilities:
Perform Investment Management audits covering investment management (equity, fixed income, hedge fund and private equity), sales distribution and supervision, UCITS governance, Compliance, operational, risk and performance auditsWork closely with Data Analysts to create and utilize automated testing, automated risk assessments and monitoring dashboardsDraft audit announcement memo, narratives, flow charts, risk assessments, control matrices and audit proceduresDocument and assess internal controls, identify strengths and weaknesses of financial and operational controls, and recommend business efficiency opportunitiesEvaluate the integrity of operational data and compliance with established policies and procedures through the audit processCoordinate with IT Audit to conduct integrated auditsPrepare and present audit reports with findings and recommendations to managementFollow up with management to ensure Management Action Plans have been implementedParticipate in special projectsQualifications:
B.S. or B.A. in Finance, Accounting, or BusinessCPA, CFA preferred8 to 10 years external and/or internal audit experience, asset management or financial services related preferredStrong data analytical skillsCandidates with Computer-Assisted Audit Techniques (CAATs) skills and experience with data visualization tools, e.g., Tableau, etc. will have advantagesKnowledge of ACL, MS-SQL, Python, Excel Pivot Tables, etc. preferredAbility to multi-task amongst several projects through use of strong project management skillsDemonstrated ability to interact with management personnelStrong analytical skillsTeam player, flexibleHigh degree of initiativeProficiency at highlighting and documenting key issues and concernsExcellent oral and written communication skillsAudit Workpaper and Flowcharting tools (TeamMate, Visio)Knowledge of investment management processes, operational risks, best practice standards, rules and regulations preferred
Compensation Details
The salary range for this role is $110,000-$145,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in New York City. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees.
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.
Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact onlineaccommodations@nb.com.
Learn about the Applicant Privacy Notice.
Responsibilities:
Perform Investment Management audits covering investment management (equity, fixed income, hedge fund and private equity), sales distribution and supervision, UCITS governance, Compliance, operational, risk and performance auditsWork closely with Data Analysts to create and utilize automated testing, automated risk assessments and monitoring dashboardsDraft audit announcement memo, narratives, flow charts, risk assessments, control matrices and audit proceduresDocument and assess internal controls, identify strengths and weaknesses of financial and operational controls, and recommend business efficiency opportunitiesEvaluate the integrity of operational data and compliance with established policies and procedures through the audit processCoordinate with IT Audit to conduct integrated auditsPrepare and present audit reports with findings and recommendations to managementFollow up with management to ensure Management Action Plans have been implementedParticipate in special projectsQualifications:
B.S. or B.A. in Finance, Accounting, or BusinessCPA, CFA preferred8 to 10 years external and/or internal audit experience, asset management or financial services related preferredStrong data analytical skillsCandidates with Computer-Assisted Audit Techniques (CAATs) skills and experience with data visualization tools, e.g., Tableau, etc. will have advantagesKnowledge of ACL, MS-SQL, Python, Excel Pivot Tables, etc. preferredAbility to multi-task amongst several projects through use of strong project management skillsDemonstrated ability to interact with management personnelStrong analytical skillsTeam player, flexibleHigh degree of initiativeProficiency at highlighting and documenting key issues and concernsExcellent oral and written communication skillsAudit Workpaper and Flowcharting tools (TeamMate, Visio)Knowledge of investment management processes, operational risks, best practice standards, rules and regulations preferred
Compensation Details
The salary range for this role is $110,000-$145,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in New York City. An employee's pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, performance, shift, travel requirements, sales or revenue-based metrics, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees.
Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company's sole discretion, consistent with the law.
Neuberger Berman is an equal opportunity/affirmative action employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact onlineaccommodations@nb.com.
Learn about the Applicant Privacy Notice.