Job Description

Internal Auditor II

Manning & Napier Group of Companies

Job Description

Position Title:Internal Auditor

Reports to:Manager of Internal Audit

FIRM SUMMARY

The Manning & Napier Group of Companies (the “Firm”) includes various subsidiary and affiliate relationships which span a range of functions within the investment management industry. These functions include: investment advisor, mutual fund manager, broker-dealer, and custodian. With investment strategies intact for 40 years, we manage client assets for pensions, 401(k) plans, endowments, foundations, and high-net worth individuals. We offer a variety of personalized investment approaches and value-added services tailored to meet our clients’ specific needs.

OBJECTIVE

This positionwill play a key role within the Firm’s Finance Department as Internal Audit is responsible for completing independenttesting of the Firm’s controls, processes, and procedures, as well as providing assistance to external auditors. This position will include, but not be limited to, the following responsibilities:

RESPONSIBILITIES & DUTIES

  • Planand execute the testing of internal control over financial reporting for proper design and operating effectiveness in support of management’s Sarbanes-Oxley (“SOX”) section 404 assessment
  • Planand executethe testing of compliance and operational audits (compliance with external regulations and internal policies)
  • Prepare the audit reports and work papers, which document the results of the work performed, in a complete and accurate manner
  • Assess identified exceptions and communicate testing results to management
  • Identify and recommend standardized processes and best practices to promote continuous business process improvements in various areas of the Firm
  • Lead the coordination of select testing/engagements performed by Internal Audit co-source partners and/or external auditors
  • Review testwork completed by Internal Audit interns
  • Provide training/coaching to Internal Audit interns or less experienced staff
  • Keep abreast of changes in audit, accounting, compliance and industry practices
  • Participate in other special projects and/or ad hoc requests by management

EDUCATION & EXPERIENCE

  • Bachelors degree in Accounting or Finance required
  • MBA or Masters degree in Accounting or Finance preferred
  • 1 to 3 years of internal audit, public accounting, or corporate finance experience preferred
  • Knowledge of internal control concepts, principles, and testing techniques preferred
  • Experience of SOX auditing or investment management industry preferred
  • CPA and/or CIA license preferred

DESIRED WORK TRAITS & SKILLS

  • Excellent written and verbal skills
  • Strong interpersonal skills – ability to work closely and effectively with various departments
  • Demonstrates integrity, values, principles, and a strong work ethic
  • Self-starter who is able to work independently after receiving initial coaching and guidance
  • Comfortable with multiple demands of a fast paced client service environment
  • Critical thinker who will offer ideas to make processes more effective and efficient
  • Strong working knowledge of Microsoft Word, Excel, and PowerPoint