We have been engaged to recruit an Internal Audit Senior Manager (Bank and Trust 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), Austin, Denver (Lone Tree), Phoenix, or Chicago.
As Internal Audit Senior Manager you oversee a portfolio of complex risk-based Internal Audits focused on the Bank and Trust subsidiaries targeting governance processes, risk management programs, internal controls, and regulatory compliance. You will provide coaching support and mentoring to Audit staff, while ensuring high quality and adherence to IIA and department standards. You will build positive relationships with stakeholders, working to develop a nuanced understanding of their environments leading to value-added action plans.
You will work for an industry leader that strives to improve peoples 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. You will have the opportunity to learn your craft from excellent mentors. The business is large and complex, so there will be no shortage of learning opportunities, and there are myriad career growth opportunities – this is a company where you can truly carve out your path.
This is a great opportunity to join an industry leader in large, complex, and dynamic company where you can really grow your career.
WHAT MAKES THIS OPPORTUNITY SPECIAL:
- 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 relationship throughout the enterprise – great career path opportunities
- High energy and collaborative corporate culture
- Flexible Hybrid-Work environment upon return to office in 2022
- 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
- Big 4/Public Accounting background, a plus
- Experience in financial services (or other large complex environment), highly preferred
- Direct experience in Banking/Trust, a plus
- 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 to stay 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
- Potential travel (post-Covid) 15-20%