Internal Auditor

Guggenheim Partners is a global investment and advisory firm with more than $290 billion1 in assets under management. Across our three primary businesses of investment management, investment banking, and insurance services, we have a track record of delivering results through innovative solutions.

Guggenheim is seeking an exceptional organized and detail oriented candidate to join the Internal Audit Team. The Internal Auditor will report to an Internal Audit Manage and will assist in the planning and execution of audits across the firm. This will entail researching business units and services they engage in and identifying risks; executing fieldwork, including business unit interviews; documentation and testing of processes and controls; and, assisting in the drafting and vetting of findings, issues and related actions plans. The successful candidate will have seven to ten years of audit experience. They will also possess outstanding intellect, analytical abilities, and self-confidence. S/he must have the proven ability to anticipate and provide solutions to complex problems. In addition, the successful candidate will have a strong work ethic and unquestionable integrity, possess excellent communication skills (oral and written), and be capable of presenting in a clear and compelling manner to management. This position is located in New York. This role will require some travel, primarily domestic to Chicago, Rockville, MD. And Santa Monica but other travel may be required.

* Assist in the maintenance of dynamic audit universe, providing updates to the risk assessment and keeping it evergreen by identifying new activities, divestitures and significant changes to businesses. * Take a lead role in conducting formal audits identified by Internal Audit management across the full spectrum of the audit cycle of planning, fieldwork and reporting. This includes: * Identification and evaluation of key processes, risks and controls; * Preparation of programs and other procedures to test controls; * Preparation and communication of action plans to remediate any control deficiencies; and * Preparation of key audit documents (e.g., audit announcement memos, planning documents, audit reports) for management review. * Establish and continually build relationships with business line and control functions at all levels. * Monitor and report on the disposition and status of action plans and conduct substantive tests of compliance as necessary. * Collaborate with others in Internal Audit and across the form on risk and control related initiatives. * Perform pre-implementation and post-mortem type reviews as necessary. * If applicable, supervise junior staff members or co-sourcing professionals in the execution of audits and other projects. * Keep abreast of industry and product specific developments and raise any risk and control related topics of interest to Internal Audit management. * Promote the department’s value proposition.

**Skills & Experience Required** * Seven to ten years of experience working as an auditor covering complex highly regulated financial service firms, preferably with asset management experience. Experience with both private and public funds is a plus. * Understanding of registered investment adviser related business functions, processes and risks, including a strong appreciation for the regulatory framework. * S/he will have an undergraduate degree, with solid financial management and auditing training. A CPA, CIA or CISA certification (or pursuing) is preferred. * Must understand internal auditing theory and techniques, including types of controls and testing procedures as well as related work paper standards. * Strong organizational and documentation skills (ability to write succinct and cohesive proves narratives, issue statements, findings and action plans). * Strong oral communication skills and confidence. * Ability to take direction and execute successfully with minimal supervision. * Display a healthy skepticism and strong aptitude for precision. * Strong interview skills – preparation in framing questions, anticipating answers and follow-up questions. * Ability to learn quickly and research topics and risks germane to areas under audit. * Solid understanding of Excel, PowerPoint, Visio, Access and common internal audit work paper tools (i.e., automated work papers). * Aptitude to develop both technical and soft skills in a growing organization. **In addition, the ideal candidate will be or have** * Understand and apply the concepts of operational, financial and regulatory risks and controls across the financial services industry and for varied financial instruments. * Analyze issues and develop and execute plans that contribute to significant improvements in financial and operational performance and risk reduction. * Collaborate with management, peers, and subordinates in the furtherance of achieving mutually beneficial outcomes. * Assess, evaluate and recommend practices that mitigate risks. * Deploy create problem solving. * Take ownership or processes and improve them. * Excel in a dynamic and fast-paced work environment. * Willingness/ability to travel – primary domestic (Chicago. Rockville, MD. and Santa Monica) but other travel may be required