Internal Audit Sr. Manager - Broker-Dealer

Your Opportunity Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities and the internal control environment. Reporting to the Managing Director, Broker-Dealer, the Senior Manager, Broker Dealer has responsibility for the independent and objective assurance activity designed to improve the firm's operations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position is also responsible for liaising with the firm's risk management functions, external co-sourcing provider, and regulators.

What you're good at

  • Assist in the management of a co-sourced team of internal audit professionals ensuring work is performed in accordance with IIA standards and is consistent with the businesses 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.
  • Participate in maintaining business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.
  • Continuously monitor for changes in the business that may affect the risk environment and, therefore, require possible changes to the audit plan or to the scope of planned audits.
  • Identify themes, trends, and emerging risks for advancement and communication to executives, audit, and risk committees.
  • Provide a thoughtful, risk-based perspective, especially as it relates to the broker-dealer enterprise, and help coordinate 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, figuring out 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.
  • Participate in departmental strategic initiatives and projects, as requested by the VP and/or EVP of Internal Audit.


What you have
  • 8+ years of financial services-related audit experience with growing responsibility. Broker-dealer specific internal audit and/or similar Big 4 Accounting or regulatory experience a plus.
  • Demonstrated experience running internal audits and their associated team members, amongst a complex operational and regulatory environment
  • Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
  • CPA, CIA, CFSA or other applicable financial services and/or risk management certifications preferred (or commitment to gain certification upon hiring).
  • Stays current on industry and regulatory issues and standard methodologies for assigned areas; imparts this knowledge to the team and the auditees.
  • Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions
  • Strong verbal and written communication skills with a shown ability to articulate effectively and expertly.
  • Uses relationships and insights to successfully influence others. Builds authentic and positive relationships to create alignment and support.
  • Flourishes with initiating, building and encouraging positive relationships inside and outside advancing the goals and the future of the company; highly collaborative; comfortable with debate and willing to challenge the status quo; navigates and activates alignment across organizational silos and upward through the Management hierarchy.


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