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    Senior Auditor Specialist/Lead - Charlotte, United States - Allspring Global Investments

    Allspring Global Investments
    Allspring Global Investments Charlotte, United States

    1 week ago

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    Description

    Elevate Your Career


    Work where your ideas have impact



    COMPANY

    Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes. With decades of trusted experience propelling us forward, we strive to build portfolios aimed at generating successful outcomes for our clients. We do this through the independence of thought that powers our investment strategies and by bringing a renewed approach to look around the corner to unlock what's possible. Allspring is a company committed to thoughtful investing, purposeful planning, and the desire to deliver outcomes that expand above and beyond financial gains. For more information, please visit About Us - Allspring Global Investments.

    At Allspring, unique views inspire us. We leverage the diversity of people, ideas, and skills to help our clients pursue their financial goals. We strive to attract and retain a diverse talent pool that enables us to better serve our global client base. Intentionally fostering a diverse and inclusive culture allows us to empower innovation, productivity, and engagement. It's also essential for elevating the experience of our clients as well as the communities in which we operate. Thank you for considering Allspring as you explore the next step in your career journey.

    POSITION

    This position will be accountable to an Allspring Senior Audit Manager or Allspring Audit Manager. This employee must foster a collaborative environment that ensures timely communication and strong cooperation between the business and independent risk and compliance teams. The ideal candidate will serve as a catalyst for sound control management practices and strengthen the risk and control culture.

    RESPONSIBILITIES

    • Executing integrated audit engagements bringing to bear sophisticated views on asset management control structures and efficiencies.
    • Responsible for executing audits across all risk topics.
    • Responsible for executing audit engagements in line with the audit methodology related to operational, compliance/regulatory and investment risks and responding to quality assurance items with the Head of Internal Audit Methodology and Quality Assurance.
    • Responsible for identifying control design recommendations that not only provide assurance that business objectives can be met in line with acceptable risk levels but also the identification of process and efficiency improvements within the control structure.
    • Responsible for identification of areas of assurance cross reliance within IIA standards.
    • Responsible for assisting the business in creating feasible and value-added risk mitigation plans.
    • Responsible for executing validation of issue remediation upon closure.
    • The successful candidate will work closely with other senior leaders across Allspring in the development and execution of company control strategies.
    • Accordingly, critical success factors will include the ability to develop professional and credible relationships with many businesses' functional areas.

    CANDIDATE

    Successful candidates will be articulate and possess a demonstrated leadership capability; they will be impressive in their inter-personal effectiveness and their accomplishments. A key differentiator will be the ability to understand and operate successfully in a complex, heavily matrixed corporate environment.

    REQUIRED QUALIFICATIONS

    • Minimum of 10 years of experience in financial service industry in audit, risk and/or compliance with majority of time in internal audit.
    • Sound critical thinking, logic application, problem solving and analytical skillset.
    • Sound communication, presentation, and time management skills with the ability to operate in a high pace/demanding environment and drive results through consistent anticipation of needs.
    • Deep or expert knowledge in sophisticated control design solutions and test designs.
    • Deep or expert knowledge in securities, information technology, cyber defense, investment management, operations management, or other topic specialization.
    • Fully capable to document controls, assess controls, test controls without the benefit of procedures, prior workpapers or any other "copy paste" capabilities.
    • Experience either auditing or working within end-to-end asset management areas and cross dimensional functional support units.
    • Experience using COSO, COBIT, NIST or other generally acceptable internal control frameworks in the area of financial services.

    PREFERRED QUALIFICATIONS

    • Certified Internal Auditor, Certified Fraud Examiner, Certified Information Security Auditor, Certified Public Accountant or other relevant certifications in area of specialization.
    • Master's degree in business administration or area of specialization.
    • Control experience in both operations and information technology in financial services industry.
    • Deep or expert knowledge in third party risk management practices and vendor oversight controls (for IT specialists also containing deep knowledge in cloud governance).
    • Programming code/language proficiency, data analytics and predictive analytics capabilities and visualization tool skills.
    • Complimentary experience in either Compliance and/or Risk Management.

    #LI-KC1

    We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

    Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

    The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)
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