Google Ad

Manager, Internal Audit Wealth Management Audit

/> Role Opportunity: Manager of Internal Audit for the Firm's Wealth Management Audit Division will ensure audit and regulatory requirements are being met in accordance with set standards for a major fortune 100 leading global financial services firm providing a wide range of Investment Banking, Securities, Investment Management, and Wealth Management services. Education: MBA or equivalent post-graduate degree highly encouraged. CPA, CIA or related licensing a plus.   Regulatory Experience: FINRA, SEC and Federal Reserve Travel: As required. Salary: Open Major Responsibilities: Manage, analyze and evaluate the Firm’s Wealth Management brokerage business focusing on *below in evaluating risk and control framework supporting the business. products investment advisory branch operations capital markets sales practices client suitability Risk assess various segments of the Wealth Management audit entity universe in helping drive the risk-based audit plan. Executing the annual risk-based audit plan to provide appropriate coverage of retail brokerage activities. Ensure execution of the Audit Plan within departmental methodology, policies and standards. Managing Audits from start to completion including detailed walkthroughs of key processes to: Identify internal controls Developing and execution of tests of control and substantive testing procedures for key controls, Execution of testing Identification and reporting of issues Involvement in scope determination, audit planning memos, developing testing plans, issue identification, issue discussions with clients and report writing. Provide management with an independent and objective evaluation of the control environment. Evaluate management’s control consciousness. Coaching, mentoring and training of junior level staff. Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards. Qualifications and Skills Requirements: Minimum 5 years of: Audit Management Related Retail Brokerage or Regulator Experience within financial services. Previous Audit experience with a complex or medium size bank or broker dealer focused on retail broker dealer trading activities or related public accounting audit experience. Strong technical understanding of the regulatory environment with respect to FINRA, SEC, and Federal Reserve regulations. Proficient understanding of the Internal Audit process including risk assessments, planning, scheduling, reporting, continuous auditing. Multi-tasking of various projects and deadlines. Strong verbal and written communication skills for audit reporting discussions with Senior Audit and Business Management. Prior experience communicating with regulators a plus. Experience with Local, State and Federal securities laws a plus.      

Mountain View, California