Internal Audit Manager

** Responsibilities:*
* Drive audit coverage of assigned functional audit area by developing various audit programs.

-    Propose audit objectives, scope, procedures and internal control reviews to ensure compliance with policies and regulations.

-    Lead audit engagements from the planning stages to the reporting stages and produce quality deliverables that meet both department and professional standards.

-    Partner with colleagues and stakeholders to evaluate, test and report the effectiveness of management controls.

-    Finalize audit findings and provide an assessment of the control environment.

-    Communicate audit findings to management and identify opportunities for improvement of the design and effectiveness of key controls.

-    Build and maintain relationships with stakeholders. Add value by establishing a culture of engagement.

-    Create and execute an effective monitoring program for assigned areas to monitor key metrics that identify control issues and adverse trends.

-    Review work performed and provide honest and constructive feedback.

-    Serve as a technical resource for other auditors.

-    Maintain industry knowledge of evolving and regulatory changes that impact the business.

-    Performs other duties and responsibilities as assigned.

** Knowledge of:*
* -    Understanding of audit practices and methodologies, including risk assessment internal control concepts.

-    Experience in managing projects against deadlines, as well as experience with annual audit plans.

-    Specific subject matter expertise regarding control disciplines.

-    Understanding of financial services products and services, especially those associated with assigned area.

-    Planning, organizing and conducting audits.

-    Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a persuasive manner.

-    Enthusiastic, self-motivated, effective under pressure, and willing to take personal risk and accountability.

-    Strong interpersonal skills to interface with all levels of internal and external audit associates and management.

-    Proven ability to build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.

-    Proven ability to multitask as well as assess changing priorities.

-    Ability to analyze risk and proactively identify discrepancies.

-    Ability to work well individually and in teams to share information and support one another.

-    Testing key controls within business processes.

-    Preparing written reports and delivering oral presentations.

-    Rules and regulations of the Securities Exchange Commission (SEC), primarily the Investment Advisers Act of 1940

-    FINRA securities rules

** Skill in:*
* -    Managing projects against deadlines, including annual audit plans.

-    Planning, organizing and conducting audits.

-    Testing key controls within business processes.

-    Preparing written reports and delivering oral presentations.

** Ability to:*
* -    Planning, organizing and conducting audits.

-    Present complex and sensitive issues to management in a persuasive manner.

-    Demonstrate enthusiasm, self-motivation, and effectiveness under pressure, and willingness to take personal risk and accountability.

-    Interface with all levels of internal and external audit associates and management.

-    Build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.

-    Multitask as well as assess changing priorities.

-    Analyze risk and proactively identify discrepancies.

-    Work well individually and in teams to share information and support one another.

** Educational/Previous Experience Requirements*
* -    Bachelor's Degree in Business Administration, Accounting, Finance or related field with a minimum of six (6) years of experience in the financial services industry.

-    OR ~

-    Any equivalent combination of education, experience and/or training approved by Human Resources.

** Licenses/Certifications*
* -    CIA, CFSA, CPA certifications, and/or CISA Auditing Certification(s)
Series 7 license preferred