About the role
As an Internal Audit Manager, you will be primarily responsible for execution of audits and recommendations on controls in the areas of brokerage operations and clearing as well as other areas of the business. In this role, you will have the opportunity to influence change and decisions for business initiatives, oversee company-wide risk assessments and delivery of audits on the internal audit plan. The successful candidate will be a strategic thinker and be able to show a clear ability to thrive in ambiguous environments.
This position reports to the Director of Internal Audit.
In your day-to-day role you will:
- Assist Audit leadership in the execution of the audits in line with the Internal Audit Plan
- Own the execution of end-to-end audit procedures in the audit lifecycle: plan and lead audits to assess controls and processes in the areas of brokerage operations and clearing, incl. audit planning, execution, reporting and remediation validation
- Lead assessment of key controls in areas such as ICOC, written supervisory procedures (WSP), company-specific operational requirements for with SEC, FINRA, federal and state regulations
- Prepare audit reports to document audit scope, procedures, findings and recommendations, including interpreting the significance of audit findings, concluding on findings and making practical recommendations for remediation action
- Commit to continuous skills and knowledge development regarding broker-dealer trends, emerging risks, and internal audit tools and techniques
- Advocate for and implement continuous improvement of our internal controls
- Build collaborative and trusting relationships with business partners and cross-functional stakeholders
- Partner on continuous development and enhancement of Audit practice to align with the overall objective and goals of the Audit function (including development of frameworks, metrics, procedures, partnerships, communications and training programs).
About you
- Have a bachelor’s degree in a relevant field of study
- 6+ years of experience in an internal audit role
- 4+ years of experience at a broker-dealer
- Hold a SIE certification, Series 7, Series 24 and/ or Series 99 License or other relevant industry certifications
- Have in-depth knowledge and understanding of FINRA, SEC and other applicable broker-dealer regulations
- Build positive relationships and have strong communication skills
- Have strong focus on quality and attention to details
- Experience in end-to-end audit cycle management and independently operate in a fast-paced, dynamic environment while managing multiple projects and initiatives
Bonus points:
- Master’s degree in a relevant field of study
- Experience in leveraging data analytics or automated tools and techniques to execute audit procedures
- Big 4 consulting experience
- CPA, CFA and /or CIA certifications
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