We have been engaged to identify an Internal Audit Senior Specialist (Asset Management and Broker-Dealer focus) for a major Brokerage and Wealth Management company, and one of the World’s 50 Most Admired Companies. This position can be located in Dallas (Westlake), Phoenix, or Chicago.
As Internal Audit Senior Specialist, you will participate in planning and execution of risk-based internal audits the Broker-Dealer and Asset Management business, to include: client-facing activities, client product solutions, portfolio advisory services, retirement plan services, compliance and trade monitoring solutions, and middle and back office operational reviews.
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 opportunity to make a positive impact is 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 it’s 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
- This is a great opportunity to leverage your experience in another large financial services institution to help build out the audit/methodology and approach to these critical areas
- High visibility – Interact with key stakeholders in 1st and 2nd LOD – there is also tremendous growth going on in 2nd Line; which could be a potential career path
- 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:
- 3-6 years progressive Internal Audit (and/or related Risk Management) experience with increasing responsibility
- Big 4 (public accounting background, highly preferred)
- Experience in financial services, preferred
- Experience in Asset Manager or Broker-Dealer operations would be highly valued, but is not a requirement
- Agility, and ability to be able to adapt to a rapidly changing environment
- Outstanding communication skills (oral and written)
- Highly collaborative – works well in a team environment
- Candidates must be authorized to work in the U.S.; unfortunately, at this time we are not able to support candidates who need a visa or visa transfer