Internal Audit Manager
About The Position
About Wealth Enhancement Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80,000 households from our over 140 offices - and growing - nationwide. Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com. We are seeking a highly skilled and forward-thinking Internal Audit Manager with deep expertise in financial services and brokerage operations. This role will lead and execute risk-based internal audits, with a strong emphasis on leveraging Artificial Intelligence (AI) and emerging technologies to enhance audit effectiveness and drive process improvements. The ideal candidate will serve as a strategic advisor to business units, helping to identify opportunities for automation, efficiency, and risk mitigation. This role will work closely with senior leadership within Growth, Investments, Technology, Operations, Legal & Compliance and Finance functions. This is a fully remote position. In the spirit of pay transparency, we are excited to share the base salary range for this position is $135,000.00 to $150,000.00, exclusive of bonuses and benefits. This role is also eligible for our corporate bonus. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.
Requirements
- Bachelor's degree required
- Internal auditing experience required
- 7+ years relevant experience is required.
- Inter-personal and communication skills working with people at all levels
- Experience communicating sensitive information
- Experience coaching, developing and building a team of accounting professionals
- This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.
Nice To Haves
- MBA/CMA/CPA preferred
- Prior experience working for a broker-dealer, RIA firm or financial services organization in a publicly traded company is preferred
Responsibilities
- Lead risk-based internal audits
- Lead and manage risk-based internal audits across financial services and brokerage functions, ensuring compliance with regulatory requirements and internal policies
- Evaluate the design and effectiveness of internal controls, with a focus on AI-enabled processes, data analytics, and automation tools
- Collaborate with cross-functional teams to assess risks associated with the implementation and use of AI technologies, including model governance, data integrity, and ethical considerations
- Provide advisory support to business units on process optimization, control enhancements, and technology adoption
- Perform audits according to the plan. Ensure audit test work, including documentation and reporting, are executed in accordance with professional standards
- Ensure that all audits and guidance are complete, accurate, timely, reliable and relevant
- Remain up-to-date on all internal audit standards and best practices
- Assist in the development of the internal audit program
- Assist in the selection and development of internal audit staff members to ensure effective and efficient execution of audits
- Oversee completion of audit test work performed by third parties
- Support the development of the annual audit plan, incorporating feedback received from business leaders and knowledge of strategic priorities to inform risk assessments
- Foster a collaborative approach to risk mitigation by partnering with business leaders to proactively communicate audit plans and expectations prior to audit period, obtain buy-in on purpose and relevance of key controls being tested and develop remediation plans
- Develop clear, concise audit reports
- Communicate audit findings and recommendations to responsible managers and ensure that appropriate action is taken
- 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
- Establish process to track, follow-up, close and report on Management Action Plans that have been laid out to remediate gaps identified through audits
- Assist in evaluation, planning and implementation of internal audit tracking tools
Benefits
- Training and professional development
- Medical, dental and vision coverage (Available to full-time employees and their families)
- Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
- Life and AD&D insurance – employer paid and voluntary options
- Short-term and long-term disability, workers compensation – employer paid
- 401k with match and profit sharing
- Wellness programs and resources
- Voluntary benefits, including pet insurance
- 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)
- 12 paid holidays each year (10 pre-determined and 2 floating days)
- Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)
- Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Number of Employees
501-1,000 employees
