We have been engaged to recruit for two Internal Audit Director – Professional Practices roles a major Brokerage and Wealth Management company, and one of the World’s 50 Most Admired Companies.   This position can be FULLY REMOTE.

The Internal Audit Director of Standards and Training will build a state-of-the-art training/curriculum program for a 300-person Internal Audit function. You will take into consideration feedback from variety of inputs – the QAR function (see more below); Audit leadership, Audit teams, regulators and internal stakeholders to – to understand the training/development needs both at the department and silo level. You will then strategize utilizing enterprise, departmental, and external resources to address those training needs, including maintenance and adoption of the departments evolving methodology.

The Internal Audit Director of Quality Assurance owns and directs the Quality Assurance Improvement Program, including a team of five Senior Managers.  The program has been successfully developed over the last four years, and now leadership is looking for someone to take it to the next level. Some of the areas for development involve greater use of data analytics for Targeted Horizontal Reviews across all audits, as well as more real-time reviews of key activities, all with the goal of more effective and timely analysis for areas of improvement.  You will then work closely with the Director of Standards and Training to provide input to inform training and development opportunities.

While prior experience in these areas would be helpful, it is not a requirement – the client is open to candidates who may be interested in a move from other areas of Audit leadership into Professional Practices.  What is required is recent managerial experience in a Large and Complex financial services company, and a deep understanding of audit methodology, standards, and regulatory expectations.  Also highly valued for both roles would be a history of building capability from scratch or evolving existing functions to next-level.

What Makes this Opportunity Special:

  • Major brand and industry leader!
    • Top 50 Admired Companies in the World (Forbes)
    • $7 trillion in Assets under Management; with 32 million accounts
    • #1 for innovation, use of corporate assets, and social responsibility in it’s industry segment (JD Power)
    • Highest Investor Satisfaction for Full Service Brokerage Firm (JD Power)
  • Excellent Growth – $15B annual revenue, with a 50% increase in 2021
  • Dynamic environment, high quality audit function, with strong leadership
  • High visibility – build relationship throughout the enterprise – great career path opportunities
  • High energy and collaborative corporate culture
  • FULLY REMOTE work option
  • Company offers strong benefits package and perks: Free Financial Planning Advice; Sabbaticals, Paid Parental Leave; time off to volunteer, wellness programs, onsite fitness classes, healthy food choices.

What would make you a great fit:

  • 10+ years progressive Internal Audit (and/or related) experience with increasing responsibility, and a demonstrated history of designing and managing multiple projects of varying complexities, timelines, and stakeholders
  • Deep knowledge of Internal Audit practices and methodology, including working knowledge of IIA Professional Practices Framework and regulatory expectations for a Large and Complex financial services institutions
  • Experience in QA practices and/or Standards and Training from another “Large and Complex” category institution would be highly valued
  • History of using data analytics for more effective root cause analysis
  • Interpersonal skills:
    • teaching demeanor/experience highly valued
    • Communication finesse – ability to critique in a positive tone
  • Building/organizational skills:
    • experience building out real-time QA, Standards & Training, or other comparable initiatives/programs would be highly valued
    • would also value experience be building out other types of methodologies/practices
    • Able to build relationships throughout IA function
  • Significant recent experience in Large and Complex category financial services environment – required
  • Agility: ability to deal with a changing environment

Apply For This Position

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