Director of Internal Audit
Specific Responsibilities Include:
- Developing and maintaining a dynamic audit universe, keeping it evergreen by the identification of
- new activities, divestitures, and significant changes to businesses.
- Maintaining the risk assessment methodology and applying it to the audit universe.
- Developing, communicating, and executing the audit plan.
- Supervising and directing the evaluation of the adequacy and effectiveness of the control
- Identifying, vetting, and communicating corrective actions to strengthen policies, procedures and
- Supporting and enhancing the department's auditing policies, guidance, and standards.
- Developing, attracting, and retaining talented professionals.
- Collaborating with executives and management of the business as well as the parent company's finance, legal, compliance, technology and human resource functions in analyzing and assessing business processes and risk controls.
- Representing Internal Audit on various risk and control governing bodies and forums.
- Developing strong and lasting relationships.
- Responding effectively to management requests for special audit projects and investigations, and serving as a trusted advisor in the area of processes and internal controls.
- Supervising staff members or co-sourcing professionals in the execution of audits and other projects.
- Keeping abreast of industry- and product-specific developments and raise any risk and control relate topics of interest to Internal Audit management.
- Promoting the department's value proposition.
Skills & Experience Required:
- At least fifteen years of experience managing an internal audit function covering complex, highly regulated financial service firms, preferably with a concentration in SEC-registered broker dealers.
- High ethical resilience.
- Deep experience and internal auditing expertise covering investment banking (e.g., M&A, advisory) capital markets fixed income and equity businesses (sell –side) operating through a U.S registered broker dealer. Other experience in providing internal auditing services to U.S registered investment advisers would be a plus.
- Proven supervisory and leadership track-record.
- Undergraduate degree, with solid financial management and auditing training. Relevant FINRA registrations (e.g., Series 7, 63, 24, etc.) are preferred, while a CPA, CIA or CISA certification is a plus.
- Strong oral and written communication skills.
In addition, the ideal candidate will demonstrate the ability to be:
- Practical, commercial, and confident.
- Skeptical and precise.
- Creative, reasonable, logical.
- Diplomatic, balanced, and thoughtful.
- Responsible and dependable.
To succeed in the Guggenheim culture, candidates must be self-starters and strive for results. We are looking for people, who operate as business owners, adhere to the highest standards and think creatively to realize opportunities, wherever they may be.
Guggenheim Partners is an Equal Opportunity Employer committed to a diversified and inclusive workforce.
Meet Some of Guggenheim Partners's Employees
Investment Research Analyst
Maria works on the Macroeconomics and Investment Research Team in the Santa Monica Office. She analyzes financial trends to help Guggenheim identify optimal investment solutions and monitor risks for their clients.
Back to top