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Audit Director - Private Banking, Investment Management, Investor Services

Brown Brothers Harriman New York, NY
  • Posted: July 02, 2019
  • Full-Time

Internal Audit provides services that assist BBH's businesses and support areas in improving their control environments, streamlining their businesses, and achieving operational excellence. The Audit Director is part of the audit executive team, which assists the General Auditor in strategic planning for the department and developing action plans to meet department objectives. The Audit Director also identifies solutions for challenges facing the department and leads their team in achieving department goals.

The Audit Director is responsible for delivering audit services, as well as risk and controls advice. S/he is ultimately responsible for managing all aspects of audit-related activities performed within his/her assigned Lines of Business (LOBs). The Audit Director oversees multiple project teams simultaneously and is responsible for providing ongoing progress reports to the LOBs and the General Auditor.  S/he is responsible for reporting and working through issues with audit senior management, LOB management, and supporting control groups.

The Audit Director participates in oversight committee meetings, and other senior management forums. S/he may also serve as a key Internal Audit representative in important new business initiatives, new products, special investigations, and other control-related projects, working with LOB senior levels of management, including Partners, to facilitate the identification and resolution of risk and control issues. The individual will play a key role in developing with management tactical solutions to problems and issues.

Administratively, the Audit Director is responsible for developing and maintaining relationships with LOB Heads and various Partners, assisting the General Auditor in the development of the annual plan (including approval of audit entity risk assessments, resource allocation and scheduling), responding to regulatory requests as required, developing staff (including formal performance evaluations and development plans), and assisting or leading department initiatives.

If you are looking to push your career to the next level, introduce yourself by submitting your resume.

Key responsibilities include:  

  • Work collaboratively with the Audit Directors to develop strategies to meet goals/objectives identified by General Auditor.  In addition, identify risks, foreseeable challenges to the Audit Department and develop potential solutions (e.g., resourcing, utilization, etc.), as they relate to the global audit department.  Present this information to the General Auditor for consideration.
  • Promote audit quality and provide critical leadership by (1) clearly defining the scope/objective of each audit/project, as well as the key risks to be evaluated during the planning phase; (2) review in detail and approve testing strategies prior to test performance as required by IIA Standards; and (3) ensure potential issues are thoroughly vetted prior to issuing draft reports.  
  • Direct and review the activities of the audit  team and work collaboratively on audit reports
  • Provide overall leadership to the audit team in connection with performance of the work and personal development and growth
  • Plan and conduct effective meetings with departmental staff and internal clients
  • Participate in business line oversight committee
  • Participate in Private Banking, Investment Management and Investor Services audits and/or subject matter and deliver industry expertise and perspective to the team and business line management
  • Assist Audit Committee in fulfilling its oversight responsibilities as it relates to Private banking, Investment Management and Investor Services subject matters by providing the Committee with relevant, concise and understandable audit deliverables (e.g., assurance reports/memos, advisory communication, audit committee material, etc.).
  • Review and finalize draft audit reports/memos to ensure work products provided to the General Auditor as relevant, concise, factual and understandable.
  • Demonstrate organizational agility by knowing how the Firm works; how to get things done both through formal channels and informal network.  Understand the origin and reasoning behind key policies, practices and procedures; understand the culture of the Firm.
  • Identify the auditable entities that make up assigned line of business(es), and the related auditable units.  Determine the number of size of auditable units for the purpose of ensuring full coverage and adequate transparency to the Audit Committee.  Review and approve all Risk Assessments for my assigned line of business(es).
  • Maintain/develop balanced relationships with BBH management: routinely meet with Senior Management to discuss current and future changes that may impact the risk profile and control infrastructure within the business.  Facilitate effective brainstorming with management and project how potential ideas may play out in mitigating risk and redefining the Firm's control environment.  Share with BBH management key topics/information obtained from industry roundtables, seminars, current events, etc., that are relevant to meeting business objectives and managing risk.  Become the business' trust advisor, while still maintaining independence and objectivity.
  • Escalate significant audit issues, set direction/communicate proposed manner of resolution of audit issues and concerns that have a significant impact
  • Develop and maintain peer relationships with internal auditor groups/associations to share best practices
  • Assist  external auditors in accomplishing their goals
  • Recruit, train, supervise and develop staff
  • Present audit results and recommendations to senior management


  • Bachelors Degree in Finance, Accounting or related field of study
  • 12+ years audit, audit-related or relevant business line experience
  • Project management experience
  • Excellent analytical, communication and interpersonal skills required with ability to present complex and sensitive issues to senior management
  • Demonstrated technical abilities in accounting, regulatory, etc.
  • Advanced knowledge in Private Banking, Investment Management and Investor Services.  Also, knowledge in the local regulatory regimes and environments impacting these areas.
  • Professional audit certifications preferred (CIA, CPA, CISA, etc.)

What We Offer:

  • A collaborative environment that enables you to step outside your role to add value wherever you can
  • Direct access to clients, information and experts across all business areas around the world
  • Opportunities to grow your expertise, take on new challenges, and reinvent yourself - within the Firm
  • A culture of inclusion that values each employee's unique perspective
  • High-quality benefits program emphasizing good health, financial security, and peace of mind
  • Rewarding work with the flexibility to enjoy personal and family experiences at every career stage
  • Volunteer opportunities to give back to your community and help transform the lives of others


We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.


Full time

New York

Brown Brothers Harriman


New York, NY

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