Hybrid Senior Manager, Internal Audit

at Cnect

• Job title: Senior Manager, Internal Audit
• Job type: Full Time
• Experience level: Senior
• Salary: $122,000 - $182,000 per year
• Degree requirement: Bachelor's Degree
• Tech skills: Cyber Security
• Location requirements: Hybrid, Dallas, United States

About the role

• Senior Manager, Internal Audit leading audit process and risk management at Cetera. Reporting to Managing Director, guiding the company through various stages of growth.

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.

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.

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.