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Senior Auditor II (2ndVP) - APAC Legal Entity

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Accounting/Finance/Tax/Audit
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71702 Requisition #
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About Northern Trust

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.


As of September 30, 2018, Northern Trust Corporation had:

$10.8 trillion in assets under custody/administration
$8.2 trillion in assets under custody
$1.2 trillion in assets under management
$132 billion in banking assets 

Role Overview

The Senior Auditor is responsible for executing and leading a global portfolio of audit engagements covering a broad range of products and services, including Asset Servicing, Asset Management, Operations and Corporate Services.  This role is responsible for work paper quality, thoroughness, accuracy and timeliness.  You may also execute a broader role across the team in terms of recommending or developing operational efficiencies and/or producing and delivering presentations which assist the wider audit department with understanding root causes of control gaps, industry trends, peer practices, etc.  

 

This position will report to the Audit Manager in Manila and an indirect reporting line into the APAC Legal Entity team.



Principal Responsibilities

Operational
  • Leads and oversees audit reviews and projects. 
  • Conduct and document audits of the governance structure and internal controls over a broad range of services and operations, testing key controls within these processes, specifically reliability and quality of data sources, data reconciliations and aggregation.
  • Develops and demonstrates an understanding of the business risks, controls, and processes, along with an understanding of relevant laws, regulatory rules and knowledge of the impact of systems within areas reviewed. 
  • Performs work that adheres to all Policies and Standards (e.g., creates electronic work papers to evidence scope of examination and accuracy of findings); professional auditing standards; and regulatory requirements. 
  • Apply analytical skills, discussions with the Business and Audit Partners and the risk assessment process to properly identify key risks and controls, audit scope, and testing approach within an audit or other project. 
  • Accurately designs and executes the testing approach and ensure that work paper documentation is clear, concise, supports the reviews performed, and explains decisions made during the project.
  • Communicates with management, including leading efforts to discuss the business/risk environment and issues/risks raised during the audit review, along with providing periodic updates, to the status of the project.
  • Develops subject area expertise to assist in providing comprehensive, in-depth consulting, training, coaching, and leadership to the team and wider audit department.

Qualifications


Required Skills
  • Bachelor's degree or qualification in relevant audit, risk management, regulatory, or compliance areas.
  • At least 7 years of auditing and/or regulatory experience in a financial institution or similar public accounting experience in the financial services industry would be an advantage but not required.
  • Knowledge of the operations, functions, and objectives of interfacing areas is required to effectively audit operations, services, systems, workflow, and operational impact on other areas. Risk management experience gained working in Audit, Risk or a Compliance function.  Experience in consulting/auditing Anti-Money Laundering and Economic Sanctions requirements would be an advantage.
  • Solid understanding of risk management and compliance processes and practices
  • Ability to work in a fast paced environment as part of a global audit team across multiple time zones and jurisdictions
 
Required Competencies
  • Self-starter with an ability to self-motivate
  • Strong analytical, leadership and organizational skills are required
  • Excellent verbal and written communication skills
  • Ability to proactively assess issues, identify solutions and problem solve
  • Ability to adapt and react positively in a changing and dynamic work environment
  • Relationship builder with experience collaborating with diverse groups across multiple time zones and various levels of expertise
  • Flexibility, multi-tasking, creative thinking, good business judgment skills are required to meet strict deadlines and manage multiple projects
  • Must be a team player and able to work under pressure during peak periods

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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC EEO Statement
    • APAC EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement