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DWS Investment

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580 DWS Investment Jobs

Validations - Lead Principal Auditor

DWS Group

1-3 years

Mumbai

1 vacancy

DWS Investment

posted 1mon ago

Job Role Insights

Key skills for the job

Private Banking US Staffing Financial Services CCTV Monitoring IT Audit Training and Development

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Job Description

Job Description

Job Title Lead/ Senior Principal Auditor

Corporate Title Vice President

Location Mumbai, India

Role Description

Overview

As a global function of approximately 850 team members, Group Audit (GA) is the banks Third Line of Defence acting as an independent and forward-looking challenger and adviser to Senior Management. We are also strongly relied upon by local regulators. We closely partner and collaborate with all Group business and infrastructure areas. This includes the Investment Bank, Corporate Bank and International Private Bank businesses, and Technology, Anti-Financial Crime, Compliance, Risk, Finance and Operations infrastructure functions.
A diverse and inclusive culture is at the core of our team dynamic, with strong corporate and ethical governance as a driving philosophy. New joiners are supported with a structured and comprehensive career programme

What we ll offer you

As part of our flexible scheme, here are just some of the benefits that you ll enjoy,

Best in class leave policy.
Gender neutral parental leaves
100% reimbursement under childcare assistance benefit (gender neutral)
Sponsorship for Industry relevant certifications and education
Employee Assistance Program for you and your family members
Comprehensive Hospitalization Insurance for you and your dependents
Accident and Term life Insurance
Complementary Health screening for 35 yrs. and above

Your key responsibilities

In this role you will support the Principal Audit Manager in the delivery of finding validations assigned to the team and further the coordination of validations with other audit teams. Responsibility-ties will include handling of validations of complex Significant Findings across the team, for completion on time, on quality, and on budget, as well as oversight and guidance of other involved auditors including monitoring and acceptance of their documentation in order to present finalized and quality-assured results to the PAM for sign-off.
Within the team you will lead by example and guide auditors in the processing of work pack-ages. You act as a coach to further develop the experience and competence level of the whole team. Assess finding validations by conducting walkthroughs, identify risks and controls, define test plan, and conclude on the test plan.
Completion of assigned work orders within agreed timeframes, as well as coordination and timely escalation when necessary, involving all relevant stakeholders including the PAM.
Support the PAM in coordinating (scheduling, staffing, monitoring timely execution) validations as part of the annual audit plan, in close cooperation with the other IT audit teams.
Keep abreast of regulatory and audit related developments in the industry and ensure effective communication to enhance regulatory knowledge throughout the wider GA team.
Communicate openly with stakeholders in the various locations, and partner with the audit teams responsible for auditing business processes and controls.
Proactively build and maintain professional working relationships with colleagues, other parts of the business and respective support areas. This also includes experience-based support in the further development of methodological approaches.

Your skills and experience

Bachelor s degree in Accounting, Finance or related discipline. Advanced Degree (e.g., Masters, Juris Doctor) and professional certification (e.g., CPA, CIA, CAMS, CFE, etc.) preferred.
In depth experience of working in an audit function within the financial services industry, with strong experience of leading audits or finding validations within a fast-paced business environment.
Good knowledge of regulatory requirements, and a thorough understanding of the risk and control environment within the financial services industry.
Demonstrated experience in proactively building meaningful relationships.
Excellent verbal and written communication skills, with the ability to articulate complex issues/data simply and clearly.
Strong analytical skills and structured thinking with the ability to clearly describe control weaknesses and associated risks. Flexible, proactive and innovative attitude with very strong organizational skills to meet agreed objectives such as timely and efficient completion of audit projects within agreed budget.
Ability to lead and coordinate several audit projects in parallel, including oversight over scope completion and quality of work.

How we ll support you