Auditor Securities and Fund Business (m/f/d) – Savings Bank Environment

Project overview

For an audit project in the savings bank environment, we are looking for an experienced freelance auditor (m/f/d) to audit securities and fund business.

The goal is the system and process-oriented audit of the relevant business processes, taking into account regulatory requirements and internal guidelines. A complete audit field concept is already available.

Responsibilities

• Audit of order processes for buying and selling securities in dwpbank and DekaBank accounts
• Audit of risk disclosure processes for existing and new customers
• Audit of investment advice, including portfolio advice and individual product advice
• Audit of suitability declarations and appropriateness checks
• Audit of the execution and documentation of voice recordings
• Audit of product selection, including equivalence checks
• Audit of the maintenance of the list of benefits, uses, and measures
• Audit of the monitoring of securities advisory conversations
• Consideration of different order channels and advisory situations, especially telephone and personal orders as well as advised and non-advised transactions

Requirements

Framework Conditions

• Several years of experience in the internal audit of banks or savings banks
• Demonstrable audit methodological experience in the system and process-oriented audit of securities and account business
• Specific audit experience in the savings bank environment is mandatory
• Sound knowledge of processes in securities business and investment advice
• Independent, structured, and careful working method

Project details

at short notice or by arrangement

Planned completion: by the end of 2026

Scope: approx. 30-35 project days

Assignment: Remote

Project Conception: complete audit field concept available

• Start: ab sofort
• Duration: 2 Monate
• Remote: remote
• Location: Deutschland, DE
• Languages: German