Audit Support - Client Services
An Audit Support Analyst is required to work within UK Transfer Agency. This role would work within a dedicated team responsible for audit support who own the end to end audit process from sample preparation to providing walkthroughs with the auditors and clients. This role will be interacting with clients and external auditors as well as working together with internal partners both UK and India based. Principal Responsibilities
• Working with the clients, Relationship Managers and operational teams to ensure the consistent and high quality delivery of client service.
• Check sample packs prior to providing to auditors for review
• Maintaining and developing close working relationships with other areas, such as dealing, registration, distributions and other internal areas such as the Relationship Managers participating in service reviews where required.
• Prioritise sample collation to ensure the team achieve the agreed SLA's with the client / auditors
• Manage relationships with the auditors
• Maintain strong relationships with our client and be comfortable to discuss CASS controls which have impacted their audit
• Update and maintain a centralised tracking log in order to track any finding or potential findings identified during each CASS audit / client visit
• Identify gaps in controls and escalate them
• Book and plan client / auditor meetings. Capture their requirements and ensure we exceed their expectations
• Attend CASS committee meetings with updates on audit findings
• Work closely with the Audit Support team in offshore locations
• Collate and check all packs prior to providing to auditors for review
• Good analytical skills - can identify trends, issues, and provide recommendations that address root causes
• Present audit updates to clients, auditors and internal partners Skills / Experience
• Strong knowledge of UK Transfer Agency essential
• Experience of managing client / auditor relationships, delivering excellent client service and, tackling a broad spectrum of client related queries.
• Strong knowledge of the regulatory environment and in particular CASS Six, Seven & Eight.
• Previous exposure working with auditors and managing their expectations would be preferred
• Ability to work to set and moving deadlines
• Experience of working on their own initiative
• Working knowledge of Excel, Word and PowerPoint.
• Good communication skills a must
• Attention to detail. Core Competencies
• Relationship Management
• Stakeholder Management
• Client orientation
• Impact and Influence
• Excellence in execution About Northern Trust:
Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With 130 years of financial experience and nearly 20,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service. Working with Us:
As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!
We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why Forbes ranked us the top employer for Diversity in 2018.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and ethical companies. Build your career with us and apply today.