We have been engaged to identify an Internal Audit Senior Manager for the Broker Dealer and Digital Operations Audit group 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), Austin, TX, (or possibly Chicago).

In this role you will report to, and function as the right-hand person to the Internal Audit Managing Director for Broker Dealer and Digital Operations.  You will oversee a portfolio of risk-based operational Internal Audits for these areas, as well as assisting with Audit Plan creation and building and maintaining relationships with key stakeholders.  You will also supervise the work of Managers and Senior Auditors on this team.

The ideal candidate would be someone with experience managing/supervising end-to-end risk-based internal audits in a complex financial services environment.  Knowledge  of Broker Dealer or similarly complex digital-heavy operations would be highly valued.  This is a technology driven environment, so someone  with an Integrated Audit background and/or who is technology-savvy would also be valued.

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 it’s industry segment (JD Power)
    • Highest Investor Satisfaction for Full-Service Brokerage Firm (JD Power)
    • Ranked “Top Workplace” in all major locations
  • Function as the right-hand person to the Managing Director for the area
  • Strong upward potential for strong performers
  • 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:

  • 8+ years progressive experience in Audit with heavy focus on financial services, and or similar Big 4 or regulatory background
  • Significant experience leading complex end-to-end risk-based operational Internal Audit
  • Strong knowledge of Internal Audit practices and methodology
  • Experience with Broker-Dealer operations highly valued, and or similar experience with other technology-enabled complex financial services environments
  • Prior Experience in Big 4 or public accounting valued
  • Integrated background and/or highly technology savvy, highly valued
  • Strong analytical skills, and the ability to analyze and identify trends and root causes
  • Experience supervising and mentoring staff members, highly valued
  • Positivity and Agility: the ability to deal with a rapidly evolving environment, while participating in productive dialogue, and to positively challenge the status quo for continued incremental improvement
  • MUST BE authorized to work in U.S. This company is not currently able to consider candidate who need visa sponsorship or transfer.

Apply For This Position

To inquire about the above Job Opening, please complete the form below
  • We ask for personal email as we recommend that candidates never use their work email for career-oriented correspondence. Also, some companies (i.e. some Big 4 firms) have been known in the past to block emails from recruiting firms. Finally, in the event you make a quick career move (planned or unplanned), we will be able to maintain contact.
  • Due to stringent U.S. work authorization requirements, The Weinman Group is not able to work with candidates who do not already posses a valid work authorization/visa to work in the United States.