Lead Principal Auditor, VP

DWS Senior Internal Audit Manager Group Functions & APAC

RFW: Senior Internal Audit Manager

Corporate Title: VP

Location: Pune/India

Responsibilities :

Accountable for leading complex Audits or participating in local and global audit engagements, including special investigations across all areas and locations of the DWS Group; independently prepares draft reports for DWS Internal Audit management and supports the tracking of audit findings as well as the validation of closure notifications.

• Assesses the adequacy and effectiveness of the internal control environment in accordance with the applicable Internal Audit Methodology and actively contributes to the execution of the audit plans assigned to the team in support of functional and business strategies.
• Leads Audit teams (incl. Internal Audit Managers) for the duration of the Audit
• As a site head (Pune / India) deputize for the Head of Internal Audit Group Functions & APAC in all relevant regional matters, act as a matrix manager for the local audit team including local supervision, work with local DWS leadership in the region.
• Act as a primary relationship manager for product/functional management locally and may represent DWS Internal Audit in local forums and councils.
• Prepares risk assessments for the various areas within DWS and based on these, successfully conducts risk and process-oriented audits efficiently and within the defined time and resource budget, in line with the Internal Audit Methodology.
• Supports dynamic, risk-based audit planning through continuous monitoring of DWS business divisions and infrastructure functions, identifying and evaluating key risks, and developing effective tests to assess the design and operating effectiveness of key controls mitigating those risks.
• Proactively develops and maintains consultative working relationships with the audit team, internal stakeholders, clients, and relevant infrastructure areas.
• Communicates audit results effectively, both verbally and in writing, at all levels of the organization.
• The primary place of work is Pune / India.

Qualification Profile

Must have skills:

Several years of audit experience at a reputable asset manager / bank or at an audit firm with a relevant focus, including deep knowledge of audit methodology and audit standards

• Firsthand experience in working successfully with Data Analytics leads to improved audit performance.
• Acquaintance with AI tools is highly desirable

Other Skills which make you successful in the role :

Completed university degrees in Business Administration, Economics or an MBA; CFA, CIA, FRM or other equivalent professional certifications are an advantage.

• Strong knowledge of the value chain and processes of an investment management company or bank, particularly in Operations, Settlement, Reporting, Transaction Processing, but also fundamental understanding of risk management practices and tools are desirable, such as credit risk management, market and liquidity risk management.
• Strong understanding of traditional asset management products as well as alternative investment products.
• Independent and proactive working style, supported by strong analytical and quantitative skills.
• Strong organizational skills combined with several years of project management experience.
• Excellent written and verbal communication skills in English, combined with a confident professional presence at all organizational levels.
• High willingness to learn, strong assertiveness and readiness to take on challenges.
• Strong team orientation and the ability to work accurately and efficiently even in high pressure situations.