Auditor Manager - International Wealth Management

BBVA•Houston, TX

10h

About The Position

Excited to grow your career? BBVA is a global company with more than 160 years of history that operates in more than 25 countries where we serve more than 80 million customers. We are more than 121,000 professionals working in multidisciplinary teams with profiles as diverse as financiers, legal experts, data scientists, developers, engineers and designers. About the job: ROLE OVERVIEW The Internal Auditor Manager for the Entity BBVA GWA, Inc., a Registered Investment Adviser (RIA), provides independent and objective assurance and advisory services to strengthen the effectiveness of risk management, compliance, and governance frameworks with respect to the international wealth management business of the Entity across the United States. This role focuses on the international wealth management business and assesses adherence to: U.S. regulatory requirements (among others SEC, FinCEN and local regulators...) Applicable global regulatory frameworks, and Internal policies, standards, and governance requirements of the BBVA Group. Cross border compliance (US - LATAM) The position plays a key role in promoting a strong culture of compliance, fiduciary responsibility, and ethical conduct, while acting as a trusted advisor to senior management.

Requirements

Bachelor’s degree required; preferred fields include Accounting, Finance, Business Administration or other related fields.
Minimum of 8 years of experience in internal audit, external audit, compliance, or risk management within: broker-dealers, asset or wealth management firms, financial services institutions or Registered Investment Advisers, .
Strong knowledge of SEC regulations applicable to RIAs /broker dealers and fiduciary standards.
Proven experience auditing: Investment advisory and portfolio management activities / Wealth management or fiduciary services.
Excellent analytical, communication, and report-writing skills.

Nice To Haves

Preferred professional certification: FINRA Series 65 or 66, ACAMS, CIA, CPA,
Experience working in a global or multi-jurisdictional wealth management environment.
Experience supporting regulatory exams and remediation programs.
Bilingual English / Spanish (preferred).

Responsibilities

Plan, lead and execute risk-based internal audits of the RIA’s core advisory and wealth management processes, including portfolio management, trading activities, sales and distribution practices, client onboarding, fee billing, books and records, order handling, best execution, custody oversight, conflicts of interest disclosures, and client suitability and cross-border.
Provide recommendations to strengthen governance, policies, procedures, and control frameworks.
Able to identify relevant risks, recommending enhancements as needed and to properly document the audit process.
Evaluate compliance with applicable U.S. regulatory requirements, including SEC regulations under the Investment Advisers Act of 1940, and other relevant regulatory or supervisory frameworks, as well as applicable global regulatory requirements where relevant. (Form ADV disclosures, Code of Ethics (Rule 204A-1), Best execution and trade allocation requirements and AML, KYC, and data privacy regulations as applicable.
Prepare audit reports in line with Internal standards, ensuring they clearly communicate objectives, scope, methodology, findings, root causes, risk ratings, and recommended actions.
Act as a trusted advisor by providing insight on control enhancements, process efficiencies, and regulatory developments.
Identify and communicate audit findings and recommendations clearly and constructively to senior management.
Escalate significant control weaknesses or regulatory risks to senior management and governance committees.
Track audit findings, management action plans, and remediation progress to completion.
Support regulatory examinations and inquiries by preparing documentation and responding to regulator requests.
Contribute to develop and implement risk-based audit plans, ensuring alignment with organizational goals and regulatory requirements.
Collaborate with other internal audit team members to promote effective risk management practices.
Additional responsibilities will include support to audit activities across other BBVA U.S. entities as needed.