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Executive Director, Fiduciary Audit
NPAworldwide Recruitment Network
NPAworldwide Recruitment Network
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Job Location: New York, NY

Job #: 9702
Title: Executive Director, Fiduciary Audit
Job Location: New York City, New York - United States
Employment Type:
Salary: contact recruiter for details
Employer Will Recruit From: Local
Relocation Paid?: NO


Leading global financial firm with operations worldwide is seeking Executive Director level individual with proven expertise in investment management services and related regulatory / fiduciary requirements, specifically 12 CFR 9 and/ or ERISA to help the firm meet their Audit initiatives.

This ED will serve as the principal repository and source of expertise for all aspects of fiduciary risk and oversee the execution of fiduciary related audit activities, monitor coverage and represent Audit in firm wide forums related to the identification and management of fiduciary risk.


Position Description:

To further strengthen the Fiduciary SME Team, Audit is looking to source experienced individuals at the Executive Director level with proven expertise in investment management services and related regulatory requirements, specifically 12 CFR 9 (including 12 CFR 9.18) and/ or ERISA. The SME will provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities to ensure fiduciary risk and related controls associated with the investment management of client assets are appropriately and consistently considered.


Work with LOB auditors to ensure the appropriate execution of fiduciary audit coverage of investment management services and regulatory requirements specifically 12 CFR 9 (including 12 CFR 9.18) and/ or ERISA

Provide detailed guidance, review and challenge during the scoping, execution and reporting of fiduciary audit activities and issue validations specifically relating to investment managements services

Help ensure the LOB audit team is appropriately qualified to effectively execute testing

Identify cross-business issues and trends, and share across audit teams to affect changes to planned coverage

Maintain investment management expertise by staying abreast of industry, regulatory and political developments.

Participate in peer and industry groups as appropriate

Provide relevant industry updates to Audit teams and business

Assist the Fiduciary SME Team in the determination of necessary staff training requirements and strategies and benchmarking approach/coverage against those of our peers

Establish, as appropriate and applicable, minimum standards and guidelines, including creating and maintaining standard investment management test programs (RAMs) appropriately incorporating 12 CFR9 and ERISA requirements

Proactively identify areas where risk exists and advise LOB audit teams on the appropriate assessment of fiduciary risk

Participate in the annual planning process for each applicable audit team to influence appropriate and consistent coverage within and across businesses

Promote a culture that encourages integrity, respect, inclusion, innovation and excellence.


Minimum of a Bachelor`s degree in Accounting, Finance, or related discipline. Certified Financial Analyst (CFA) Certification expected.

Must have 10+ years of 12 CFR 9 and /or ERISA experience relating principally to investment management services

Prior audit experience not necessary

Broad and deep knowledge of first and second line investment processes, investment products and vehicles across all client segments

Ability to manage projects and participate in audit assignments in a team environment

Excellent communication and interpersonal skills required with ability to present complex and sensitive issues to senior management

Proficiency in risk assessment, issue/impact analysis and executive report preparation

Enthusiastic, self-motivated, effective under pressure and willing to take risk

Works well individually and in teams, shares information, supports colleagues and encourages participation

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