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Sr. Auditor, Wealth Management
Sr. Auditor, Wealth ManagementVoya Financial • Boston, MA, US
Sr. Auditor, Wealth Management

Sr. Auditor, Wealth Management

Voya Financial • Boston, MA, US
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Audit Senior

Be part of something transformative the launch of Voya's expanding Wealth Management presence in Boston, MA. Voya Financial, a leader in the Retirement business, will be expanding our Wealth Management business to support our customers not only to but also through retirement. This new position will be responsible for directing the daily progress of individual audit assignments within Voya Financial (Voya) and providing guidance to assigned Auditors. The Audit Senior is responsible for evaluating risk and controls, designing audit procedures to ensure controls are in place and functioning to avoid losses and meet regulatory requirements, and identifying opportunities to improve operational efficiency.

Technical Responsibilities :

  • Perform the planning for more complex audits for the LOB by :
  • Preparing process flows / narratives of major processes within the areas being audited to ensure proper identification of risks, assessment of key controls, and the development of appropriate testing strategies
  • Preparing audit scopes and rationales
  • Identifying opportunities to enhance the audit process by utilizing Computer Assisted Auditing Tools (CAATs)
  • Ensure accurate and complete testing of key controls in the LOB is performed in accordance with established standards and protocols through :
  • Reviewing and approving the audit program, assignment of staff to audits, and testing performed
  • Ensuring that CAATs reports are developed and utilized
  • Reviewing potential audit issues and approving conclusions
  • Reviewing and / or preparing draft audit reports, depending on complexity of the audit
  • Perform continuous monitoring and business surveillance activities as well as assist with special projects as assigned by the Audit Director and Audit Senior Manager in the Line of Business

Client :

  • Develop relationships with clients within the Line of Business
  • Respond timely to requests from executive and senior management on critical questions and issues
  • Where applicable, provide consultation to assist the client with implementation of new systems, new products / services and processes, and the related new / improved controls for the LOB
  • Monitor the client's progress / resolution efforts of high risk issues in the LOB and follow up with management to ensure that unresolved control matters are being addressed
  • Discuss audit recommendations and reports for the Line of Business with VOYA management
  • As we expand our team, we have the flexibility to onboard talent at either level :

    Audit Senior (Level II) :

  • Demonstrates ability to lead an audit independent of senior level staff
  • Assumes lead role in client relationship management
  • Proactively identifies risks and issues as they arise
  • Audit Senior (Level I) :

  • Demonstrates ability to lead audit workstream independent of senior level staff
  • Facilitates development of client relationship
  • Overall :

  • Perform the planning of individual audits within or across the Lines of Business / Function (LOB) to determine the focus and objectives of the audits using risk analysis principles, risk assessments, and business judgment
  • Lead the fieldwork of audits ensuring that accurate and complete testing of key controls is performed in compliance with established departmental protocols and auditing standards
  • Participate in creating and leading changes by identifying pragmatic improvement opportunities
  • Lead with passion and clarity by effectively supervising and supporting Audit Associates, leading and collaborating with peers to achieve team objectives
  • Responsible for personal and team development through enhancement of business knowledge, professional skills, and through contribution to the performance evaluation process through completing individual audit / project appraisals
  • Skills / Knowledge / Abilities :

  • 6+ years of experience in auditing, including two years supervisory experience
  • Significant experience and knowledge of financial services industry
  • Bachelor's degree with emphasis in Accounting, Finance, Business or IT is required
  • Advanced degree (MBA) and / or professional certification (CPA, CIA, CISA, etc) is desirable.
  • Builds and maintains good relationships with audit clients
  • Understands the LOB strategy, products, operations and potential risk areas
  • Ability to translate the LOB risk areas into specific projects within the audit plan
  • Ability to manage groups of professionals to accomplish team objectives
  • Builds effective and collaborative peer-level relationships
  • Demonstrates strong analytical and problem-solving skills
  • Proactively identifies and resolves issues as they arise
  • Strong written and verbal communication skills
  • Demonstrates continuous learning and sharing of best practices within the team
  • Identifies opportunities for continuous improvement
  • Ability to work independently and effectively to contribute to team objectives
  • Ability to effectively balance multiple tasks
  • Good knowledge of US GAAP, internal controls, business processes, and IIA standards
  • Good knowledge and understanding of Accounting / Financial Risk, Insurance Risk, Market & Credit Risk, IT Risk and Compliance Risk
  • Please Note : This position has been designated as an office centric role working next to our business leaders, with the flexibility of working in our new Seaport location 3 days a week.

    Compensation Pay Disclosure : Voya is committed to pay that's fair and equitable, which means comparable pay for comparable roles and responsibilities. The below annual base salary range reflects the expected hiring range(s) for this position in the location(s) listed. In addition to base salary, Voya offers incentive opportunities (i.e., annual cash incentives, sales incentives, and / or long-term incentives) based on the role to reward the achievement of annual performance objectives. Actual compensation offered may vary from the posted salary range based upon the candidate's geographic location, work experience, education, licensure requirements and / or skill level and will be finalized at the time of offer. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. $101,110 - $126,390 USD

    Be Well. Stay Well.

    Voya provides the resources that can make a difference in your lives. To us, this means thriving physically, financially, socially and emotionally. Voya benefits are designed to help you do just that. That's why we offer an array of plans, programs, tools and resources with one goal in mind : To help you and your family be well and stay well.

    What We Offer :

  • Health, dental, vision and life insurance plans
  • 401(k) Savings plan with generous company matching contributions (up to 6%)
  • Voya Retirement Plan employer paid cash balance retirement plan (4%)
  • Tuition reimbursement up to $5,250 / year
  • Paid time off including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day.
  • Paid volunteer time 40 hours per calendar year
  • Critical Skills :

  • Customer Focused : Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
  • Critical Thinking : Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
  • Team Mentality : Partnering effectively to drive our culture and execute on our common goals.
  • Business Acumen : Appreciation and understanding of the financial services industry in order to make sound business decisions.
  • Learning Agility : Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
  • Equal Employment Opportunity :

    Voya Financial is an equal-opportunity employer. Voya Financial provides equal opportunity to qualified individuals regardless of race, color, sex, national origin, citizenship status, religion, age, disability, veteran status, creed, marital status, sexual orientation, gender identity, genetic information, or any other status protected by state or local law.

    Reasonable Accommodations :

    Voya is committed to the inclusion of all qualified individuals. As part of this commitment, Voya will ensure that persons with disabilities are provided reasonable accommodations. If reasonable accommodation is needed to participate in the job application or interview

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    Sr Auditor • Boston, MA, US

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