Internal Audit Director

Internal Audit Leadership Opportunity in Financial Services

Director Internal Audit

Location(s):

2300 Windy Ridge Parkway, Atlanta, GA 30339
7755 Third Street North, Oakdale, MN 55128
877 Executive Center Drive West, St. Petersburg, FL 33702
12325 Port Grace Boulevard, La Vista, NE 68128
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Role Type: Full time. In-office hybrid 4 days a week.

Summary:

This role will report to the SVP and Head of Internal Audit. Director Internal Audit is responsible to lead risk-based internal audits of business operations, regulatory and compliance, Finance, and Affiliate firms. This role will work closely with senior leadership within Advisor Growth & Product Solutions, Operations, Legal & Compliance and Finance functions. This role will also collaborate with Internal Audit co-source partners.

Responsibilities:

• Support the Head of Audit with special projects, audit committee and risk committee preparations, and participation in governance committees
• Support the Head of Audit on on-going risk assessment, stakeholder discussions, development of audit plan and ad-hoc advisory to business
• Manage execution of business operations, regulatory and compliance and finance audits and ensure quality and timely completion of the audit plan. Ensure audit test work, including documentation and reporting, is executed in accordance with department and professional standards and completed timely.
• Ensure effective reporting of audit results through effective verbal and written communication. Ensure audit results are corroborated and reviewed with key stakeholders prior to finalization
• Provide advice and counsel to management on complex risk management, control issues, and development of other internal controls and risk groups (e.g., Operational risk, SOX, etc.).
• Oversee Internal Audit's processes to track, follow-up, close and report on Management Action Plans that have been laid out to remediate gaps identified through audits.
• Incorporate best practices related to the role of Internal Audit into Osaic's Internal Audit methodology
• Lead building an internal Quality Assurance program to ensure a robust audit methodology is set up and followed, in accordance with IIA's requirements
• Support expanding Internal Audit team through new hires and potential guest auditor/Internship programs
• Provide other internal audit status reporting as required.
• All other duties, as assigned.

Education Requirements:

• Master's Degree preferred, Bachelor's Degree from accredited university required.

Basic Requirements:

• Minimum of 8 year's professional experience in accounting, finance, or audit.
• Knowledge of Financial Services industry, particularly broker-dealer set-up
• High level of project management skills. Exceptional organizational and time management skills with the ability to set priorities and meet deadlines.
• Solid understanding of risk and controls.
• Ability to proactively engage with stakeholders and communicate complex risk areas in a simplistic manner.
• Possess significant business and personal leadership skills, initiative, independent judgment, and negotiation skills.
• Team oriented and a proven people manager.

Preferred Requirements:

• CPA or CIA
• Financial Services Series 7 or similar qualification