I am recruiting for an INTERNAL AUDIT SENIOR MANAGER for  a major Brokerage and Wealth Management company, and one of the World’s 50 Most Admired Companies.  This position can be either FULLY REMOTE or hybrid remote based in Dallas (Westlake), Austin, Denver (Lone Tree), Chicago, or Omaha.

As a Senior Audit Manager, Broker Dealer/Asset Management you will participate in planning and execution of risk-based internal audits for the Broker Dealer Operations (client-facing activities, client product solutions, portfolio advisory services, retirement plan services, compliance and trade monitoring solutions, and middle and back office operational reviews, etc.). As a SME in this area, you will take on higher risk audits and provide leadership in department initiatives.

You will work for an industry leader that strives to improve people’s lives by providing industry-leading tools, education, advisors, and platform to better-enable to them to plan for their future and achieve their goals.  You will work with other enthusiastic and high-energy colleagues in a highly collaborative environment.  The environment is complex and dynamic to keep you stimulated, challenged, and evolving. The opportunities to add value are great.  The department and company also offer a myriad of career growth opportunities – this is a company where you can truly carve out your path!


  • Major brand and industry leader!
    • Top 50 Admired Companies in the World (Fortune)
    • #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 leaders and mentors
  • High visibility – build relationships throughout the enterprise – great career path opportunities
  • High energy and collaborative corporate culture
  • Option to be HYBRID or FULLY REMOTE!
  • 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:

  • 7+ years progressive Internal Audit (and/or related Risk Management) experience with increasing responsibility
  • CPA or CIA, highly preferred
  • Demonstrated history of performing and managing end-to-end audits in a complex operational environment, and ability and organizational skills to oversee multiple concurrent audits
  • Big 4/Public Accounting background, a plus
  • Experience Auditing Broker-Dealer (especially middle and back-office operations), highly preferred
  • Experience in financial services (or other large complex environment), highly preferred
  • Clear understanding of regulatory expectations in the execution of audit work, issue validation, MRA validation, and the response to regulatory inquiries.
  • Proven ability to supervise, coach, and mentor junior staff
  • Proven experience developing/maintaining positive relationships with external stakeholders (Audit business partners and/or regulators) is beneficial
  • Enjoys staying current on industry and regulatory issues and standard methodologies; imparts this knowledge to the team and the auditees.
  • Agility, and ability to function well in a complex and 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

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.