Internal Audit Manager
Description:
- High profile opportunity with prestigious Financial Services firm
- Extensive exposure to traditional broker dealer activities, including:
- Securities Operations
- BD sales practices, product supervision, product knowledge
- BD regulatory exposure/experience/expertise (Investment Advisors Act, 33 Act, AML, FINRA regs, etc….)
- Executive Management Leadership in the Broker/Dealer, Wealth Management, Advisory and Trust businesses.
- Offer expertise, advice and counsel based on advanced audit experience. Opportunity to exercise professional business judgment and influence senior business managers and peers.
- Provide leadership for audit projects and team activities.
- Function in high profile Risk Management capacity, identifying emerging risks and approaches for preventative risk indicators
- Assist business partners with balancing their business strategy through the application of appropriate risk management controls by participating in risk committees, acquisition due diligence, business investigations and special projects.
- Interact with regulatory agencies, external consultants and other internal risk management groups.
- Implement audit approach of risk based practices. Define audit scope, develop audit programs, and execute review and test procedures.
Requirements:
- BS Accounting, CPA required.
- 5 to 10 years expertise in complex products and suitability and/or trust products with related regulatory knowledge.
- Risk management background highly desired including broker/dealers, wealth management compliance, risk or internal audit.
- Knowledge of branch office broker activities/operations and/or trust business desired.
- Strong analytical skills and project management experience.
Dynamic personality, willing to take ownership and take charge.
Required Skills for Internal Audit Manager Job:
- BS IN ACCOUNTING
- 5-10 YRS IN PUBLIC
- INTERNAL AUDIT OR COMBO
- BROKER DEALER
- WEALTH MANAGEMENT
- CPA
Stephen James Associates provides professional and managerial placement search services.
Stephen James offers both contingent search services for direct placement and interim search for consultants in a host of disciplines including Accounting & Finance, Banking, Human Resources, Marketing and Sales.
Recognizing the complexity and importance of finding candidates with specific skills and abilities, Stephen James Associates employs a hands-on recruiting approach to guarantee that they deliver the best candidates available.
Stephen James Associates is part of the Allegis Group, the world's largest privately held staffing company.
Allegis Group and its subsidiaries are equal opportunity employers.
Contact Information
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