TIAA Internal Auditor in CHARLOTTE, North Carolina
Location: United States, Illinois, Chicago
Field: Finance & Accounting
Post Date: Mar 08, 2019
TIAA is a unique financial partner. With an award-winning track record for consistent performance, TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 9/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.
This position serves as a team member on more complex audits, working under the direction of audit leadership and management, supporting our Asset Management organization. This individual typically is involved in activities such as the execution of detailed programs for audits, the review of financial, operational, compliance and risk systems, processes and procedures to determine efficiency, effectiveness and alignment with internal policies, procedures, regulations and industry standards. Requires knowledge of financial services products, services and regulations; internal audit practices; risk management; and regulatory guidance and expectations (FRBB, OCC, SEC, State Insurance). Requires knowledge of the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit Division's methodology is aligned.
KEY RESPONSIBILITIES AND DUTIES:
Works on problems of diverse scope performing complex financial, operational and integrated audits of the company's operations using the organization's risk based internal auditing methodology. Analyzes audit data and observations and documents audit conclusions and findings. Prepares remediation plans and makes recommendations which are subject to review by audit management. Reviews and evaluates control structures to determine the adequacy of internal controls, operating efficiency and customer service. Performs tests of records and accounts and verifies compliance with regulations and sound business practices.
Minimum 2 years auditing experience.
Bachelor's degree in Accounting, Finance or other related discipline required.
A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is a plus.
Securities licenses may be carried by the broker-dealer if the auditor is involved in auditing broker dealer activities.
Note: The candidate will be requested to obtain the CIA or CPA within a reasonable timeframe, based on prior experience.
The incumbent of this position will be designated as a “Tier 1 Access Person” for personal trading purposes. Such a designation imposes restrictions on securities holdings and trading activities of the incumbent, and of certain family members, which should be fully understood before any offer of employment for this position is accepted.
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We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status.
*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017
- Requisition ID: 1717999