Senior Manager, Internal Audit

Cetera • Dallas, TX

32d • Hybrid

About The Position

Cetera is a dynamic and rapidly growing company seeking an experienced Senior Manager, Internal Audit, to join our team. This highly visible role is pivotal in helping guide the company through various stages of growth. Reporting directly to the Managing Director, Risk Oversight, the Senior Manager, Internal Audit will be instrumental in leading the audit process, evaluating and advising on internal controls, corporate governance, and risk management activities to ensure compliance with laws, regulations, and company policies.

Requirements

• Bachelor's degree or equivalent work experience.
• 8 years of experience in internal audit, enterprise risk management, or an operational risk department, with at least 5 years in a leadership role.
• 5 years of experience working with regulatory, operational and compliance frameworks, including evaluating compliance with GITC, FINRA, SEC, OCC, etc. requirements.
• 3 years of experience with a broker/dealer, investment advisor, bank, or trust company.
• Knowledge of internal control frameworks and ability to assess and improve control systems.
• A strong grasp of risk assessment methodologies, risk mitigation strategies, and the ability to identify and evaluate potential risks is vital for effective audit planning and execution.
• Deep understanding of operational risk and ability to identify potential risks and ensuring accuracy of ongoing procedures.
• Ability to understand IT systems and associated controls, cybersecurity risks, and the impact of technology on business operations and activities.
• Solid business acumen to understand business operations, industry trends, and alignment of audit activities to strategic goals and organizational priorities.
• Critical thinking and analytical skills to analyze situations objectively, see around corners, challenge assumptions, and identify potential risks and weaknesses.
• People-first leadership skills to motivate, mentor, and manage team members while fostering a culture of collaboration, accountability, and continuous improvement.
• Collaboration and relationship management skills to build and maintain strong relationships with stakeholders across the organization.

Nice To Haves

• Professional certifications with an audit or risk focus, such as CIA, CISA, CRMA, or RIMS-CRMP
• FINRA Series 7, 24, and/or 65/66

Responsibilities

• Provide strategic insights and recommendations to the Managing Director, Risk Oversight and external parties to enhance the company's risk management and internal control environment.
• Continuously identify, evaluate, and communicate on existing and evolving strategic risks to the organization and our business.
• Maintain and optimize a risk management framework, identifying potential risks and implementing mitigation strategies to address control gaps and deficiencies.
• Source and manage various external auditor, consulting, and professional services vendor relationships, including pricing negotiations, scoping of work, and performance evaluation.
• Lead control risk assessments, scoping, test planning, process narrative review, walkthroughs, reporting, and continuous monitoring activities.
• Foster risk and control awareness through cross-functional partnerships to ensure a robust internal control environment and promote process improvement initiatives.
• Provide strategic advice on the inclusion of automated controls in key system implementations.
• Orchestrate timely completion of audit projects by facilitating effective communication and coordination between external audit, internal audit, and control owners.
• Oversee GRC platform to ensure continued efficacy, recommending enhancements and/or remediating deficiencies as needed.
• Collaborate with external auditors, legal advisors, and other stakeholders to ensure seamless integration and compliance in mergers and acquisitions.
• Other duties as assigned.

Benefits

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior