Internal Audit Manager in Windsor, CT at Voya

Date Posted: 10/29/2018

Job Snapshot

  • Employee Type:
    Full-Time
  • Location:
    1 Orange Way
    Windsor, CT
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    10/29/2018

Job Description

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Profile Summary

Voya Financial is hiring an Internal Audit Manager to join its Internal Audit Department in Windsor, Connecticut. The Internal Audit Manager will be responsible for the organization, execution, planning and administration of internal audits within the Voya Retirement Line of Business (LOB). The Internal Audit Manager will lead the evaluation of controls, review compliance with policies, procedures and regulations, and coordinate the reporting of results of internal audits to Voya Financial management.  

Profile Responsibilities:

Management

  • Support the Senior Audit Manager in achieving the LOB audit strategy;
  • Support the Senior Audit Manager in scope and administration of a comprehensive internal audit plan for the LOB;
  • Contribute to successful completion of the annual audit plan.
  • Setting staff expectations, supervision, coaching, mentoring, and completing performance evaluations for assigned staff.
  • With experience, demonstrates ability to lead multiple concurrent projects of increasing levels of complexity, develop customer relationships and effectively communicate with middle/senior management.
  • Participates in the selection of staff and begins to assume responsibility for career development of assigned audit team members, including completion of periodic performance evaluations.

Technical

  • Responsible for the development of risk assessment strategies, the identification of specific risks to the enterprise and the evaluation of audit evidence related to operational, financial and insurance risk, with a focus on retirement, broker dealer and advisory products.
  • Responsible for leading the execution of complex audit projects while demonstrating a thorough understanding of the audit process within a financial services environment.
  • Lead assigned resources in the planning, designing and executing both integrated and standalone audits and ensure that they are performed in compliance with established departmental protocols, audit methodology and auditing standards;
  • Manage fieldwork of several audits simultaneously and ensure they are completed to a high level of quality, integrity and within agreed timelines;
  • Evaluate corrective measures taken to address unresolved matters, follow up on the progress being made and prepare summary reports for the LOB to executive management;
  • Monitor key business initiatives and provide risk assessment insight pertaining to control issues and risk activities;
  • Coordinate with Internal Audit Operations to schedule LOB resources, and
  • Build awareness of external leading practices and benchmarks to embed within the Internal Audit function for the LOB.

Client

  • Enable a high degree of client satisfaction by developing strong working relationships with clients within the LOB;
  • Proactively partner with the LOB to provide audit consultation for new business strategies; and
  • Coordinate and direct reporting of results of audits to management, and support Audit Committee reporting.

Knowledge & Experience

The ideal candidate will have a proven track record in executing and supervising internal audit work including risk assessment, problem solving, and impactful reporting of results.

  • A minimum of a Bachelor’s degree with a major/minor or emphasis in Accounting, Finance and/or Business is required.
  • CPA, CIA, MBA, CFA, FLMI and related industry certification highly preferred.
  • 8+  years of relevant work experience within the broker dealer, advisory, asset management and/or financial services industry.  Relevant experience in a public accounting environment or a consulting environment will be strongly considered.  Strong financial services business/operations experience (with an emphasis on broker dealer, advisory and/or retirement products) will be considered.
  • Knowledge with broker dealer operations and compliance matters highly preferred.
  • Product knowledge with 401(k), 403(b) and 457 retirement products preferred.
  • Experience and working knowledge of DOL, ERISA, FINRA and SEC regulations preferred.
  • Must be well versed in the processes, systems and objectives of financial services companies in order to provide high quality risk assessment.
  • Must have a working knowledge with Microsoft Office products
  • Ability to travel up to 15% of the time, primarily domestic.

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Critical Skills
At Voya, we have identified the following critical skills which are key to success in our culture: 

  • Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
  • Critical Thinking: Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
  • Team Mentality: Partnering effectively to drive our culture and execute on our common goals. 
  • Business Acumen: Appreciation and understanding of the financial services industry in order to make sound business decisions. 
  • Learning Agility: Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.

Learn more about Critical Skills.