Senior Auditor

Core Tasks and Responsibilities Senior Auditor

1    Risk Based Audit Planning

• Assist GAAM management in understanding and documenting (maintain and update) in an accessible, structured manner the Business (getting to know the Business) (audit universe) for the purpose of knowledge transfer and audit planning.
• Assist in establishing the (risk-based) annual Audit plan.
  • Ensure that proper, systemic and accessible documentation is maintained of all audit plans.
  • Ensure that background explanations on the audit plan(s) are properly documented in the permanent file. This for the purpose of knowledge transfer within the Department, possible external review (regulators, IIA review) and generally adherence to quality standards.

2    Delivery of Risk Based Audit Services

• Apply the Group Audit Methodology for the execution of planned and/or ad hoc audits.
• (Assist) in delivering audits services in accordance with the agreed upon scope/objective from the annual plan(s).
• Pro-actively re-act to ad hoc requests and emerging risks.
• Perform all tasks to audit such as: planning the audit, execute the audit, close the audit, write the report and wrap up the audit.
  • Write, edit (and assist in writing) of meaningful audit (executive summary) reports containing clear messaging for (senior) Business Leaders.
  • Ensure that all reported audit findings are clear and are accompanied with practical and realistic problem solving recommendations.
  • Timely follow up on open issues (overdue or near to overdue) from audit reports with the business (maintain oversight over issue tracking).

3    Active Stakeholder Management

• Seeks engagement with (Senior/Middle/Departmental) Business leaders/managers in Aegon AM.
• Document the meetings and use it for input in the Audit planning.
• Actively advise Aegon AM on Risk, Control and Business (risk) issue topics.  

4    Management Reporting/Quarterly Committee Reporting

• Assist the Audit Manager in ensuring that the quarterly reporting is being prepared and made ready for delivery to (when applicable) committees) including data for Aegon Group reporting

5    Center of Expertise for Asset Management Audit

• Work internationally with GAAM colleagues to establish centers of Expertise for topics in the value chain
• Actively share knowledge on relevant developments with the larger Aegon AM audit team.
• Train and instruct if necessary/if available, (junior) staff in the area of auditing and/or the business model/products

Know How & Professional Background

• Professional appearance and approach, Senior Management presentable.
• A minimum of 6-8 years of (internal) audit experience preferably in an internationally operating Internal Audit Department in Banking, Asset Management, Private Wealth Management or similar financial (banking type) of industry. Or demonstrated an interest in the products and business of Asset Management or Investment Management from a personal interest point of view.
• Awareness and knowledge of Regulatory and Compliance developments in the industry.
• Awareness and knowledge of (basic) IT controls (integrated auditing) relevant for the industry.
• Demonstrated being able to deal with different cultures, people and styles. A Global Mindset (looking for the benefit of the larger Group than going for personal benefit only).
• Demonstrated taking into account both the interests of Global Senior Asset Management leadership and Local Senior Asset Management Leadership.
• University/higher education, preferably business economics/banking or think and act on Academic level due to having the right experience.
• Willingness to start or finish post graduate professional Audit preferably (Dutch) RA, (Dutch) RO, (UK) ACCA, (US) CPA, (US) CIA or a (US) CFSA (or similar).
• Extensive, appropriate experience and a good sense of humor

Other Requirements (competencies and personality traits)

• Excellent internal and external communicator, picks up the phone when needed to.
• Writes clear and concise, and informative, audit reports with a clear messaging.
• Fluent in English in writing and speaking. Any other language is highly appreciated.
• Customer focused and an ability to establish and maintain valuable partnerships- without losing independence and objectivity.
• Personal Accountability and Ownership–Complete Audit Plan, take initiative/volunteer/step forward.
• Being able to dealing with push back effectively.
• Willingness to travel internationally on assignments and work in different teams of Aegon AM located in other countries (target of 20% annual travel globally).
• Being able to travel freely in the main Aegon AM regions and countries (UK/EU and USA).