Job Description

Top Stack's client, a growing global financial services company, is seeking an experienced Operational Auditor to oversee the daily management of financial and asset management review projects for a dynamic organization. This role involves guiding a team of reviewers, assessing risks and safeguards in financial operations, developing review strategies to ensure compliance with applicable standards, and pinpointing areas for process enhancement. A strong grasp of review methodologies and best practices is essential.

Key Responsibilities:

Technical Expertise:

• Plan and execute financial review projects by:
• Creating detailed process maps or summaries to identify risks, evaluate critical safeguards, and design effective evaluation approaches.
• Exploring ways to improve review efficiency through data-driven insights.
• Ensure thorough and accurate evaluation of safeguards by:
• Reviewing evaluation frameworks, assigning team members to projects, and overseeing testing activities.
• Incorporating data analytics tools where relevant to strengthen review outcomes.
• Validating findings and approving conclusions.
• Drafting or reviewing summary reports based on project scope.
• Support ad-hoc initiatives as directed by the Review Supervisor or Department Lead.

Stakeholder Engagement:

• Build and maintain productive relationships with stakeholders in financial and asset management functions.
• Address inquiries from leadership promptly and effectively.
• Provide guidance to stakeholders on implementing new systems or processes, including updated safeguards, as needed.
• Track and follow up on unresolved issues in financial and asset management areas to ensure resolution.
• Present review findings and recommendations to leadership.
• Demonstrate leadership in managing projects or specific workstreams.
• Proactively identify and address risks or challenges during reviews.

Leadership and Oversight:

• Direct fieldwork for financial and asset management reviews, ensuring evaluations meet established standards and protocols.
• Drive innovation by identifying opportunities to enhance processes.
• Lead with enthusiasm, providing clear direction to team members and fostering collaboration to meet group goals.
• Engage with senior leadership, including the Head of Reviews and the Executive Team, to align on objectives.

Qualifications and Skills:

• 5+ years of experience in financial or asset management review roles, with a preference for candidates who have led review projects.
• Familiarity with the financial services or related industries.
• Bachelor’s degree in Accounting, Finance, Business, or a related field is required.
• Advanced degree (e.g., MBA) or professional certifications (e.g., CRMA, CFE, CISA) are a plus.
• Proven ability to lead teams and achieve collective goals.
• Strong interpersonal skills to foster collaborative relationships with peers.
• Exceptional analytical and problem-solving abilities.
• Ability to anticipate and resolve issues proactively.
• Excellent written and oral communication skills.
• Commitment to continuous learning and sharing expertise with colleagues.
• Ability to work independently while contributing to team success.
• Deep understanding of safeguard frameworks and industry review standards.
• Comprehensive knowledge of financial, investment, and compliance risks.
• Experience with review tools (e.g., TeamMate+) is advantageous.
• Proficiency in data analytics or automation tools is a plus.

Location and Work Arrangement:

• Preferred Locations: Southeastern PA or Manhattan, NY (Hybrid – 1-2 days/week in-office).
• Remote Option: Metro Atlanta, GA (Fully remote).
• Occasional travel (~10%) for team-wide in-person meetings.

Benefits Overview:

• Competitive compensation package.
• Generous paid time off (PTO).
• Retirement savings plan with employer contribution.
• Comprehensive health, dental, and vision coverage.
• Opportunities for professional growth and development.
• Flexible work options to support work-life balance.

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