Internal Audit Managing Director – Compliance & Corp Functions (Denver, Dallas, San Francisco, Chicago, Phoenix)

We have been engaged to identify an INTERNAL AUDIT MANAGING DIRECTOR (Compliance and Corporate Functions) for a major Brokerage and Wealth Management company, and one of the World’s  50 Most Admired Companies.   This position can be based in Dallas (Westlake), Denver, San Francisco, Chicago, or Phoenix.

The Internal Audit Manager Director will report to the SVP IA for Corporate and Risk Management and be responsible for overseeing Internal Audit for two key silos:  1) Compliance (Lending, SEC, AML/BSA, Privacy, etc.), and 2) Corporate Functions (HR, Legal, Marketing, Strategic Planning, Vendor Management, etc.).

You will be involved Risk Assessment and Audit Plan creation, as well as overseeing execution of that plan.  You will build strong relationships with key stakeholders, monitor changes in the business for changing risk profile, and interface with regulators.  You will build out and lead a team of 5-10 FTE and additional co-sourced resources, as well as coordinating and leveraging subject matter expertise for other Audit silos.

This is a very unique opportunity to be part of building, developing, and maturing an Internal Audit function in a large stable company, as the organization has recently moved to take audit back in-house after many years of co-sourcing.  The opportunities to add value are immense.

What Makes this Opportunity Special:

  • Major brand and industry leader!
    • Top 50 Admired Companies in the World (Forbes)
    • #1 for innovation, use of corporate assets, and social responsibility in its industry segment (JD Power)
    • Highest Investor Satisfaction for Full Service Brokerage Firm (JD Power)
  • Excellent Growth – Net Q1 income up 39% YoY
  • Rare opportunity to be part of building and maturing an Audit department in a large and successful company
  • Excellent visibility with Executive Leadership throughout the organization
  • High energy and collaborative corporate culture
  • 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 experience Internal Audit and or Big 4 Audit/Advisory
  • Bachelor’s degree
  • CIA, CPA, CRCM, CAMS, CFSA, or other relevant certification preferred (or commitment to attain within 12 months of joining)
  • Experience owning/overseeing a portfolio of audits, including ability to manage multiple audits simultaneously
  • Experience conducting global Risk Assessment and Subsequent Audit Planning
  • Deep experience auditing Corporate Function (HR, Legal, Marketing, Strategic Planning, etc.+), strongly preferred
  • Broad and deep experience Auditing a breadth of Compliance functions (Lending Regs, Fair Lending, BSA/AML, GDPR/Privacy, SEC, insider trading), as well as understanding of regulatory expectations for Enterprise-wide Compliance Functions (as expected of Large Complex Financial Institutions)
  • Strong knowledge of Internal Audit practices and methodology, including IIA standards
  • Advanced knowledge of regulatory guidance and expectations of internal audit coverage related to SR 13-1, SR 08-08, SR 12-17, and SR 13-19
  • Experience in another “Large and Complex” category institution would be highly valued
  • Prior Experience in Big 4 or public accounting valued
  • Strong analytical skills, and the ability to analyze and identify trends and root causes
  • Very strong risk/auditor skills – critical to evaluate remediation of issues and MRAs
  • Interpersonal skills:
    • Strong written and oral communication skills
    • Agility: ability to deal with a changing environment
By | 2018-11-20T11:30:43+00:00 November 20th, 2018|