Internal Audit - Wealth Management Auditor – Associate

About the Role

Shape how a leading wealth management business manages risk by bringing curiosity, judgment, and a control mindset to complex activities. You’ll work with senior stakeholders across business, operations, and technology while building deep expertise in products, regulations, and governance. We’ll support your growth through exposure to a wide range of audits and meaningful feedback from experienced audit leaders. Your work will help teams improve processes, manage risk, and deliver better outcomes for clients. As a Wealth Management Auditor (Associate) within Internal Audit, you will help deliver audit coverage across the Wealth Management business in Asia. You’ll plan and execute risk-based audits, evaluate the design and effectiveness of controls, and communicate insights that drive measurable improvement. You’ll partner closely with business, operations, technology, and control stakeholders to understand risks and influence sustainable solutions. You’ll contribute to high-quality audit reporting, issue validation, and continuous monitoring in a fast-changing regulatory and market environment. This role is based in Singapore and supports audit coverage across Wealth Management activities and supporting functions in Asia. You’ll collaborate with regional and global audit partners to deliver consistent methodology, strong stakeholder engagement, and timely execution across multiple audit engagements.

Job responsibilities

• Participate in end-to-end audit engagements, including risk assessment, planning, testing, control evaluation, reporting, and issue validation
• Analyze business, product, operational, and technology processes to identify key risks and control gaps
• Evaluate the design and operating effectiveness of controls and document clear, evidence-based conclusions
• Draft audit deliverables, including workpapers and audit reports, with a focus on clarity, accuracy, and actionability
• Communicate audit issues and improvement opportunities to management and partners in a constructive, solutions-oriented way
• Track, follow up, and verify closure of audit issues, including validating remediation evidence and sustainability of fixes
• Support audit project management by managing timelines, milestones, and deliverables across multiple workstreams
• Lead or support on-the-job coaching by providing timely review notes and constructive feedback within audit teams
• Partner with stakeholders to maintain strong working relationships and a culture of proactive engagement
• Monitor regulatory, market, and industry developments relevant to wealth management and supporting technology
• Support responses to regulatory requests and participate in regulatory-required reviews as needed

Required qualifications, capabilities, and skills

• Bachelor’s degree in Accounting, Finance, Economics, or a related discipline
• Minimum 6 years of experience in internal audit, external audit, risk management, or control functions within financial services, with exposure to wealth management or private banking activities
• Working knowledge of wealth management products and services (e.g., investment advisory, discretionary portfolio management, brokerage, and banking offerings)
• Experience performing risk assessments, designing audit procedures, executing testing, and documenting work in a structured audit methodology
• Ability to assess control design and operating effectiveness, including evaluating the likelihood and impact of control weaknesses
• Knowledge of fiduciary and wealth management regulatory requirements applicable to financial institutions (across relevant jurisdictions)
• Strong written and verbal communication skills, including the ability to present complex and sensitive issues clearly to diverse audiences
• Strong stakeholder management skills with experience partnering across business and control functions
• Demonstrated ability to manage priorities, meet deadlines, and adapt to changing requirements in a dynamic environment
• Strong problem-solving and analytical skills, with attention to detail and sound professional judgment
• Ability to work effectively both independently and collaboratively, contributing to an inclusive and supportive team environment

Preferred qualifications, capabilities, and skills

• Professional certification such as Chartered Financial Analyst (CFA), Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or equivalent
• Experience auditing fiduciary activities within a financial institution
• Experience auditing technology-enabled processes, data controls, or third-party/vendor risk relevant to wealth management
• Experience coordinating audits across multiple regions or working with global teams
• Experience preparing for or supporting regulatory examinations, inquiries, or required reviews
• Proficiency in Chinese language
• Strong data analytics skills using Alteryx, Python and other similar tools