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.

Key Responsibilities:

• 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 workpapers 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.

Required Skills / Experience:

• 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.

Highly Preferred:

• 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 within a large bank financial institution or public accounting/consulting environment supporting financial services clients.

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