Senior Associate, Internal Audit

At Barings, we are as invested in our associates as we are in our clients. We recognize those who work diligently for us and reward them for personal and professional integrity, communication skills, distinct competencies and expertise in specific strategies, ability to collaborate as a team member and true dedication to the interests of our clients.

We thank you for your interest in joining the Barings team, and invite you to explore our current employment opportunities.

Title: Senior Associate, Internal Auditor

Business Unit: Internal Audit  

Location: London, UK or Charlotte, NC

Barings is a leading global financial services firm dedicated to meeting the evolving investment and capital needs of our clients and customers. Through active asset management and direct origination, we provide innovative solutions and access to differentiated opportunities across public and private capital markets. A subsidiary of MassMutual, Barings maintains a strong global presence with business and investment professionals located across North America, Europe, and Asia Pacific.

Job Summary

In this role, you will be exposed to various business areas and will have high visibility and access to senior leaders throughout the organization. This is an excellent opportunity to influence and impact change. This position generally focuses on audits of a range of complexity, and should be able to work in a mostly self-sufficient manner with some oversight from an Audit leader.

Typically, this position is involved in activities such as:

• The preparation of detailed programs for global and regional operational or regulatory audits to evaluate the effectiveness of operational processes and controls
• The review of complex internal controls and related processes and procedure to determine efficiency, effectiveness, and compliance with applicable laws, regulations and company policies.
• Creating and providing management with accurate and timely reports on audit findings, including recommendations for improvement in a self-directed manner.
• Providing advice and consultation to other auditors regarding the review of business area controls
• Proposing recommendations to enhance operational efficiency and identifying other areas of improvement.  
• Assist in the identification of emerging risks and audit planning for specific countries/risk areas, and taking leadership in Department and other projects.

Primary Responsibilities

The individual will be responsible for leveraging business knowledge to conduct internal audits and project reviews regarding investment advisory and investment management business, middle and back office, and support functions and processes as well as associated regulations. The internal audit activities involve identifying and analyzing risks and controls, recommending process and control improvements, and providing reports to relevant stakeholders. This individual will also participate in Internal Audit department-wide initiatives and activities.

Key responsibilities and objectives for this position are:

• Work under supervision to conduct audits and project reviews that evaluate and test the relevant risks, key control points, and operational effectiveness thereof.
• Utilize data analytics tools/ techniques to support audit activities by analyzing large datasets.
• Distil business topics and use appropriate judgment to effectively communicate issues, information, and recommendations to peers and management.
• Work in partnership with audit management, financial/investment/other business management and other risk/control functions to ensure that processes, business activities, and internal controls are effective in managing operational, financial, regulatory and business risks.
• With supervision, survey business functions and corporate activities in order to set audit scope and audit objectives for specific engagements.
• Recommend appropriate business solutions to manage identified risks.
• Prepare reports and analyses that communicate audit results for the relevant business conditions and business risks/controls.
• Analyze business functions from a financial, operational and compliance perspective.
• Conduct audits and projects in accordance with professional standards and department policies and procedures as it relates to specific business functions and/or corporate activities.
• Contribute ideas that strengthen internal audit practices and other risk/control efforts.
• Participate in Internal Audit department-wide initiatives and activities.

Qualifications

• Bachelor’s degree in accounting, finance, or related business field preferred
• 2+ years’ internal audit experience, as well as progressive internal/external audit experience or equivalent financial services business experience
• Ability to demonstrate excellent communication skills, both verbal and written
• CFA, MBA, CPA and/or other relevant investment certifications preferable
• Understanding of audit, internal control, risk and governance principles
• Strong analytic and problem-solving skills
• Understanding of workflows and business processes
• Ability to identify solutions that effectively address business and control needs
• Motivated self-starter with high aptitude for learning and strong track record
• Possesses high integrity, professional skepticism, proactive work style, strong business sense
• Commitment to excellence and continual improvement
• Commands respect and credibility with team members and business colleagues
• Anticipates future possibilities, opportunities and risks
• Handles ambiguity with sound business judgment and partnership
• Ability to multi-task effectively in a fast-paced environment
• High responsiveness and flexibility to changing business priorities and tight deadlines
• Ability to work within and across organizations

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Barings is an Equal Employment Opportunity employer; Minority/Female/Age/Sexual Orientation/Gender Identity/Individual with Disability/Protected Veteran. We welcome all persons to apply.