| Title: Internal Audit Manager - Global Wealth Management
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| Location: New York, NY
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| Job Type: Direct Hire
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| Compensation: per Year
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| Reference Code: 943968-AQG
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Description: A world class financial services company in New York City or Jersey City, NJ, seeks a Manager of Internal Audit for Global Wealth Management business. This position is open due to significant growth. This company offers great benefits and opportunity for advancement.
Responsibilities for this role include performing the following duties:
- Manage, analyze, and evaluate the retail brokerage business as well as its products and operations to achieve execution of the Audit Plan
- Involvement in managing retail brokerage audits with experience in areas such as brokerage operations, product, investment advisory, consumer banking, and mortgage-related products including: scope determination, audit planning memos, issue development, and report writing
- Prepare and execute annual and long-term risk-based audit plans to provide appropriate coverage of retail brokerage activities
- Ensure execution of the audit plan within departmental methodology, policies, and standards
- Provide management with an independent and objective evaluation of the control environment and evaluate management's control consciousness
- Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation standards
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Requirements: Qualifying for this position requires the following experience, skills, and knowledge:
- 5-10 years of audit management within retail brokerage or commercial banking or Big 4 with brokerage or banking clients
- Strong technical understanding of the regulatory environment with respect to FINRA, SEC, NFA rules or other regulators such as the OCC, OTS, and Federal Reserve
- Proficient understanding of the internal audit process including risk assessments, planning, scheduling, and reporting
- Prior experience communicating with regulators is a plus
- Experience with local, state and federal securities law is a plus
- A B.S. degree in Business including Economics, Finance, Accounting, etc.
- A CPA is a big plus
- Ability to travel up to 15% when required
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