Audit Associate

We are seeking a seeking a Buy Side Audit Associate with strong business and/or audit experience to join our Internal Audit Department. This position is an opportunity for experienced professionals to join a dynamic team to deliver value added audit services.

As a member of AB s Internal Audit Department, experienced hires are expected to demonstrate proficiency in performing risk assessments around firm activities, evaluating controls and risk mitigation. Through execution of diverse assignments, this position offers exposure to all levels of management and the global investment management business.

The Audit Associate is responsible for planning, performing, reporting, and following up on specific audit assignments under the guidance of the Chief Audit Officer, and/or Audit Management (Chief of Staff, Audit Director, Audit Manager). This individual will perform these activities under the guidance of Audit Management and the Senior Associate.

The Audit Associate will be responsible for carrying out the following duties:

Assist Audit Management in carrying out the annual audit plan by the following means:

Assist in planning the scope of audits. Prepare audit programs and execute comprehensive audits in various operational and financial areas of the company, both domestic and international. Participate in audit planning, progress, and wrap-up meetings. Recommend corrective actions or business resolutions, if required, and follow up on implementation. Prepare audit workpapers that evidence completion of audit and form an adequate basis for the audit report. Prepare drafts of audit reports.

Assess the accuracy and adequacy of information and the Company s internal control structure by:

Reviewing transactions, documents, records, reports, accounting and operational methodologies

Using inquiry and observation

Employing analytical review procedures

Assist Audit Management in accomplishing certain administrative tasks:

Preparation of annual risk assessments Preparation of Annual audit plan Preparation of commentary for the Audit Committee material

The Audit Associate is also expected to:

• Keep current as to the development of relevant industry, regulatory and corporate matters that may affect the Internal Audit Department s audit scope.

• Work in cooperation with other team members and Audit Management.

Candidates must have the flexibility and ability to occasionally travel to both domestic and international locations.

What makes this role unique or interesting (if applicable)

• Obtain a holistic understanding of departments and SBU s at AB.

• Exposure to AB s top management and the ability to influence change and mitigate risk across the entire organization.

Qualifications, Experience, Education:

This position requires:

• A college degree.

• Up to 2 years audit experience on the buy-side of the global financial services industry. Experience in the follow areas: Research, Portfolio Management, Buy-Side trading, including quantitative/algo trading, Investment Management Operations, Institutional Sales and Marketing, Regulatory and Investment Compliance.

• Experience in the asset management industry (including alternatives and mutual funds) is a big plus

• Professional Certification (CIA, CFSA, CFA etc,) or Advanced Degree preferred

• Strong written and oral communication skills are a must

• Strong interpersonal skills.