Guggenheim Services, LLC

Internal Auditor

Job Locations US-NY-New York
Posted Date 2 weeks ago(5/22/2023 2:59 PM)
Job Category
Audit Jobs
Position Type

Position Summary

Guggenheim Investments is seeking an exceptionally organized and detail oriented candidate to join the GI Internal Audit Team. The Internal Auditor will report to the Internal Audit Manager and will assist in the planning and execution of audits across the firm. This will entail researching business units and services they engage in and identifying relative risks; executing fieldwork, including business unit interviews; documentation and testing of processes and controls; and, assisting in the drafting and vetting of findings, issues and related actions plans.

The successful candidate will have at least 5 years of audit experience, preferably in the asset management industry. They will also possess outstanding intellect, analytical abilities, and self-confidence. S/he must have the proven ability to anticipate, and provide solutions to, complex problems. In addition, the successful candidate will have a strong work ethic and unquestionable integrity, possess excellent communication skills (oral and written), and be capable of presenting in a clear and compelling manner to management.

This position is located in New York. This role will require some domestic travel, primarily to Chicago, Rockville, MD., and Santa Monica, CA, though travel to other locations may be required.

Essential Job Functions

  • Conduct asset-management audits across the full spectrum of the audit cycle of planning, fieldwork and reporting. This includes:
  • Planning - identification and evaluation of key processes, risks and controls, preparation of audit programs and other procedures to test controls;
  • Executing fieldwork – leads stakeholder interviews, documentation (e.g., process narratives, walkthroughs, testing, etc.) and testing of processes and controls;
  • Reporting –draft audit findings, issues and related actions plans; and
  • Assist in the documentation of key deliverables, including Audit Announcement Memo, Audit Planning Document, and audit reports
  • Assist in the maintenance of a dynamic audit universe, providing updates to the risk assessment and keeping it evergreen by identifying new activities, divestitures and significant changes to businesses.
  • Establish and maintain relationships with stakeholders, at all levels, within the business lines and control functions.
  • Monitor and report on the disposition and status of action plans and conduct substantive tests of compliance, as necessary.
  • Monitors budget slippage and other key metrics and takes correction actions, including timely escalation to Internal Audit Management.
  • Collaborate with others in Internal Audit and across the firm on risk and control related initiatives.
  • Perform pre-implementation and post-mortem type reviews, as necessary.
  • Promote the department’s value proposition.
  • Keep abreast of industry and product specific developments and raise any risk and control related topics.

Preferred Qualifications

  • A CPA, CIA or CISA certification (or pursuing) is preferred.
  • Must understand internal auditing theory and techniques, including types of controls and testing procedures as well as related work paper standards; ; can independently evaluate the adequacy of the controls in the context of relative risks.
  • Strong organizational and documentation skills (ability to write succinct and cohesive process narratives, issue statements, findings and action plans).
  • Strong and efficient communication and influencing skills (oral and written), confident and capable of presenting in a clear and compelling manner to stakeholders, both in-person and working remotely (e.g., performing walkthroughs and stakeholder interviews, vetting findings).
  • Excellent writing and documentation skills (ability to write succinct and cohesive process narratives, issue statements, findings and action plans).

Basic Qualifications

  • Five plus years of experience working as an auditor covering registered investment adviser business functions (e.g. portfolio management, research, operations, sales/distribution, compliance, finance) including a strong appreciation for the regulatory framework. 
  • Experience with information technology (IT) audit as it relates to IT general controls (application and infrastructure), logical access, change management, data integrity and business continuity controls.

Salary Details

Annual base salary between $115,000 and $125,000.


The base salary range represents the low and high end of the anticipated base salary range for this position. Actual base salaries may vary depending on factors such as location and experience. The range listed reflects base salary only, and the total compensation package may include other components such as incentive compensation.

About Us

Guggenheim Partners is a diversified financial services firm that delivers value to its clients through two primary businesses: Guggenheim Investments, a premier global asset manager and investment advisor, and Guggenheim Securities, a leading investment banking and capital markets business. Guggenheim’s professionals are based in offices around the world, and our commitment is to deliver long-term results with excellence and integrity while advancing the strategic interests of our clients.

Guggenheim is an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Learn more at, and follow us on LinkedIn and Twitter @GuggenheimPtnrs.




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