Audit Manager

Title: Manager – Wealth Management Internal Audit

Location: Dallas, TX or New York, NY — Hybrid

Duration: CONTRACT 6 months and ongoing

Compensation: 73.00

Work Requirements: U.S. Citizen, GC Holders, or Authorized to Work in the U.S.

Skillset /

Experience:

Internal Audit, Wealth Management and Internal Controls

Manager – Wealth Management Internal Audit

Our client, a large financial services organization, is seeking two experienced Internal Audit Managers to support its Wealth Management audit function. This role will lead risk-based audits across Wealth Management business areas and manage engagements from initial planning and scoping through testing, issue development, and final reporting.

• Lead end-to-end internal audit engagements across Wealth Management business areas.
• Develop risk-based audit scopes, risk assessments, and testing strategies.
• Conduct walkthroughs to identify key business processes, risks, and controls.
• Evaluate control design and operating effectiveness and execute substantive control testing.
• Identify control gaps and deficiencies and develop well-supported audit findings.
• Prepare clear audit documentation, work papers, and final audit reports.
• Manage audit timelines, deliverables, and multiple concurrent priorities.
• Partner with business stakeholders, risk teams, compliance, and other control functions throughout the audit lifecycle.
• Execute audit work in accordance with established internal audit standards and methodologies.

• 7+ years of experience across Internal Audit, Risk Management, Controls, Compliance, or a related discipline within financial services.
• Strong hands-on Internal Audit experience, including ownership of audits from planning through final reporting.
• Demonstrated experience with audit scoping, risk assessments, walkthroughs, control identification, testing, issue development, and reporting.
• Strong project management skills with the ability to manage multiple audit deliverables and competing priorities.
• Strong written and verbal communication skills, including the ability to communicate audit findings effectively to business stakeholders.

• Direct Wealth Management Internal Audit experience.
• Strong understanding of Wealth Management products, processes, risks, and controls.
• Experience auditing one or more of the following:
  • Brokerage and investment advisory
  • Private banking
  • Trust and fiduciary services
  • Wealth Management regulatory compliance
• Experience with in a large bank, financial institution, or public accounting/consulting environment supporting financial services clients.

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