Internal Audit Manager
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Job Description
Internal Audit Manager responsible for leading risk-based audits at Wealth Enhancement. Collaborating with cross-functional teams to ensure compliance and optimize processes using AI technologies.
Responsibilities:
- Lead risk-based internal audits
- Lead and manage risk-based internal audits across financial services and brokerage functions, ensuring compliance with regulatory requirements and internal policies
- Evaluate the design and effectiveness of internal controls, with a focus on AI-enabled processes, data analytics, and automation tools
- Collaborate with cross-functional teams to assess risks associated with the implementation and use of AI technologies, including model governance, data integrity, and ethical considerations
- Provide advisory support to business units on process optimization, control enhancements, and technology adoption
- Perform audits according to the plan. Ensure audit test work, including documentation and reporting, are executed in accordance with professional standards
- Ensure that all audits and guidance are complete, accurate, timely, reliable and relevant
- Remain up-to-date on all internal audit standards and best practices
- Assist in the development of the internal audit program
- Assist in the selection and development of internal audit staff members to ensure effective and efficient execution of audits
- Oversee completion of audit test work performed by third parties
- Support the development of the annual audit plan, incorporating feedback received from business leaders and knowledge of strategic priorities to inform risk assessments
- Foster a collaborative approach to risk mitigation by partnering with business leaders to proactively communicate audit plans and expectations prior to audit period, obtain buy-in on purpose and relevance of key controls being tested and develop remediation plans
- Develop clear, concise audit reports
- Communicate audit findings and recommendations to responsible managers and ensure that appropriate action is taken
- Ensure audit results are corroborated and reviewed with key stakeholders prior to finalization
- Provide advice and counsel to management on complex risk management, control issues and development of other internal controls
- Establish process to track, follow-up, close and report on Management Action Plans that have been laid out to remediate gaps identified through audits
- Assist in evaluation, planning and implementation of internal audit tracking tools
Requirements:
- Bachelor's degree required
- MBA/CMA/CPA preferred
- Internal auditing experience required
- 7+ years relevant experience is required.
- Prior experience working for a broker-dealer, RIA firm or financial services organization in a publicly traded company is preferred
- Inter-personal and communication skills working with people at all levels
- Experience communicating sensitive information
- Experience coaching, developing and building a team of accounting professionals
Benefits:
- Training and professional development
- Medical, dental and vision coverage (Available to full-time employees and their families)
- Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
- Life and AD&D insurance – employer paid and voluntary options
- Short-term and long-term disability, workers compensation – employer paid
- 401k with match and profit sharing
- Wellness programs and resources
- Voluntary benefits, including pet insurance
- 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
- 12 paid holidays each year (10 pre-determined and 2 floating days)
- Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
- Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)
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