We have been engaged to recruit an Internal Audit Senior Specialist 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, Chicago, or Omaha.

As Internal Audit Senior Specialist, you will participate in planning and execution of risk-based internal audits for either Broker Dealer (client-facing activities, client product solutions, portfolio advisory services, retirement plan services, compliance and trade monitoring solutions, and middle and back office operational reviews, or Bank Operations (lending, deposit, and trust operations, compliance with banking regulations, etc.).

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.


  • 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:

  • 3-6 years progressive Internal Audit (and/or related Risk Management) experience with increasing responsibility
  • Demonstrated history of performing end-to-end audits in a complex operational environment
  • Big 4 (public accounting background, preferred)
  • Experience in financial services (or other large complex environment), preferred
  • Experience in Asset Management or Broker-Dealer operations or Banking is a plus, but is not a requirement
  • 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%

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.