Posted: Thursday, February 1, 2018 9:28 PM
Internal Audit (IAD) provides independent and objective assessments of the effectiveness of risk management activities and the internal control environment. Reporting to the VP, Broker-Dealer, the Director, Broker Dealer has responsibility for the independent and objective assurance activity designed to improve the firm’s operations by evaluating and improving the effectiveness of risk management, control, and governance processes. This position is also responsible for liaising with the firm’s risk management functions, external co-sourcing provider, and regulators. What you’ll do: Manage a co-sourced team of internal audit professionals ensuring work is performed in accordance with the Institute of Internal Audit standards and is consistent with the business charter, policies, and procedures. Direct and manage the design and successful execution of the internal audit plan and provide strategic and proactive consultation in identifying risk exposures and in evaluating solutions for internal control weaknesses and regulatory compliance issues. Review key internal audit work papers including planning documents and audit reports to ensure clear identification and communication of risks and issues prior to presentation to senior management. Ensure the execution of the audit plan reflects the annual Audit Response Programs and provides sufficient basis for providing an annual opinion for each critical risk process/function. Maintain business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response. Continuously monitor for changes in the business that may affect the risk environment and, therefore, require possible changes to the audit plan or to the scope of planned audits. Identify themes, trends, and emerging risks for escalation and communication to executives, audit, and risk committees. Provide a thoughtful, risk-based broker/dealer perspective and help oversee all parts of the internal audit program including, but not limited to, risk assessment, audit plan development, audit plan execution, continuous monitoring, and project reviews. Promote the increased use of data analytics techniques to evaluate large data sets for trends and anomalies. Address issues during the internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem. Evaluate the adequacy and timeliness of managements response and the corrective action taken on all significant weaknesses noted in the report. Conduct special audits as requested by executive management or the Audit Committee according to the Internal Audit Charter and Policies and Procedures. What you have: 10+ years of internal audit experience with increasing responsibility. Financial services and/or Big 4 Accounting experience a plus. Demonstrated experience managing internal audits and associated team members within a complex operational and regulatory environment. CPA, CIA or other applicable certification preferred. Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses. Stays current on industry and regulatory issues and best practices for assigned areas; imparts this knowledge to the team and the auditees. Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions. Leverages relationships and insights to successfully influence others. Builds authentic and trusted relationships to create alignment and support. Thrives on initiating, building and cultivating strong relationships inside and outside the firm; highly collaborative; comfortable with debate and willing to challenge the status quo; navigates and activates alignment across organizational silos and upward.
• Location: Fort Worth
• Post ID: 77686382 fortworth