Neuberger Berman delivers comprehensive investment management products and services to a broad base of clients, from individuals to mid-sized businesses to large institutional investors.  This includes separately managed institutional accounts, private wealth management services, 40 Act Mutual Funds, UCITS Funds, and Private Funds.  Investment management strategies and products cover a spectrum of traditional and alternative asset classes and risk/return profiles.

As an Internal Auditor, you will play a key role in executing audits across the Firm’s business lines and support functions spanning equity, fixed income, private wealth management and alternatives asset classes.  You will work in close collaboration with other members of the Internal Audit department, Legal & Compliance, Operations, Risk, Front Office personnel, and other supporting functions.

Position Responsibilities:

Perform audits covering equity, fixed income, and alternative investment strategies, as well as reviews of private wealth management, trust company, sales distribution and supervision, client reporting, fund governance, compliance, operations, risk, branch exams, etc.

Work closely with data analysts to create and utilize automated testing, risk assessments, and monitor dashboards to improve audit efficiency

Prepare audit deliverables including announcement memo, narratives, flow charts, risk assessments, control matrices and audit procedures

Document and assess the control environment, identify strengths and weaknesses of internal controls, and recommend enhancement opportunities to mitigate risk

Evaluate the integrity of operational data and ensure compliance with established policies, procedures and regulatory requirements through the audit process

Coordinate with Technology Audit to conduct integrated audits for bother operational and technical controls

Prepare and present audit reports with findings and recommendations for control enhancements to senior management

Track action plans and follow up with management to ensure implementation of agreed upon plans and remediation efforts

Participate in special projects, including process improvement initiatives and ad hoc risk assessments

Requirements:

Bachelor’s degree in Finance, Accounting, Business, or related field

CPA, CFA preferred

8 – 10 years internal and/or external audit experience; asset management or financial services related required

Experience in Private Wealth is strongly preferred

Knowledge of investment management processes, operational risks, best practice standards, rules and regulations

Strong data analytics experience, including the ability to analyze large data sets for audit testing and risk assessments

Working knowledge of data querying and visualization tools, (e.g., Tableau, SQL, Python, etc.) a plus

Proficient with audit workpaper and flowcharting tools (TeamMate, Visio, etc.)

Strong project management and multi-tasking capabilities; ability to prioritize effectively and meet deadlines in a fast-paced environment

Self-motivated, enthusiastic, collaborative, and flexible with the ability to work independently and as part of a team.

Demonstrated ability to interact with senior management and stakeholders across various business functions

Excellent oral and written communication skills

Proficient in highlighting key issues and concerns

Business travel is expected (approximately 10-15%)

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Compensation Details

The salary range for this role is $110,000-$145,000. This is the lowest to highest salary we in good faith believe we would pay for this role at the time of this posting. We may ultimately pay more or less than the posted range, and the range may be modified in the future. This range is only applicable for jobs to be performed in the job posting location. An employee’s pay position within the salary range will be based on several factors including, but limited to, relevant education, qualifications, certifications, experience, skills, seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective bargaining agreements, and business or organizational needs. This job is also eligible for a discretionary bonus, which, along with base salary and retirement contributions, is part of our total comprehensive package. We offer a comprehensive package of benefits including paid time off, medical/dental/vision insurance, 401(k), life insurance and other benefits to eligible employees.

Note: No amount of pay is considered to be wages or compensation until such amount is earned, vested, and determinable. The amount and availability of any bonus, commission, production, or any other form of compensation that are allocable to a particular employee remains in the Company's sole discretion unless and until paid and may be modified at the Company’s sole discretion, consistent with the law.

Neuberger Berman is an equal opportunity employer. The Firm and its affiliates do not discriminate in employment because of race, creed, national origin, religion, age, color, sex, marital status, sexual orientation, gender identity, disability, citizenship status or protected veteran status, or any other characteristic protected by local, state, or federal laws, rules, or regulations. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact onlineaccommodations@nb.com.

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