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Internal Audit Manager, Broker-Dealer/Asset Management

Phoenix, , United States

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities, the internal control environment, and compliance with applicable regulations.  The Broker-Dealer and Asset Management division provides internal audit coverage of the business process activities and compliance functions for the firm’s registered broker-dealer and the registered retail and institutional investment advisors.  Reporting to the Managing Director, the Asset Management/Broker Dealer Audit Manager has responsibility for the independent and objective assurance activity designed to improve the firm’s operations and compliance with key regulations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position is also responsible for working with auditing resources provided by an external co-sourcing provider.

What you’ll do:

  • Manage a co-sourced team of internal audit professionals, ensuring work is performed in accordance with Institute of Internal Audit standards and is consistent with the business’ Charter and Policies and Procedures.
  • Direct and supervise the design and successful execution of audits included in the internal audit plan and provide strategic and proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues.
  • Review key internal audit work papers, including planning documents and audit reports, to ensure clear identification and communication of risks and issues prior to presentation to senior management.
  • Provide a thoughtful, risk-based broker dealer perspective and help oversee all parts of the internal audit program including, but not limited to, risk assessment, audit plan development, audit plan execution, continuous monitoring, and project reviews.
  • In coordination with the IT audit team, promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies.
  • Address issues during the internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem.
  • Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the report.
  • Participate and/or lead special audits as requested by Executive Management or the Audit Committee according to the Internal Audit Charter and Policies and Procedures.

Job Info

  • Support h1B Visas?: 
    N/A
  • Job Type: 
    Talent Oasis
  • Location: 
    Phoenix, , United States