Senior Audit Manager

Job Description

Plan and execute complex portions of the Risk & Control Services plan, including concurrent audit and SOX/MAR/FDICIA compliance activities and presenting objectives and results to various levels of management. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes. May act as a project lead on audits or other Risk and Control Services activities. Supervise and lead projects, while providing leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of work.

Responsibilities

• Plan and execute complex portions of the Risk & Control Services plan including audit activities and SOX/MAR/FDICIA compliance activities. Present work objectives and results to various levels of management that focus on the impact of control deficiencies. Execute on a structured approach to evaluate and improve the effectiveness of risk management, control, and governance processes.
• Identify control deficiencies, assess exposure and significance, and propose cost effective recommendations. Monitor and validate Management Action Plan status. Recommend closure of Management Action Plans when actions are complete and identified deficiency has been addressed.
• Supervise and lead assigned projects. Provide leadership to peers and others as needed in the work assigned. Manage the scope, schedule, and deliverables of assigned work.
• Proactively communicate/escalate challenges and roadblocks that impact ability to meet established timelines. Coordinate with the appropriate control groups in planning and executing assigned work. Ensure work is completed within established timelines.
• Complete risk assessments in conformance with department standards, generally in complex areas. Recommend changes to Risk and Control Services plan to focus efforts on risk areas and provide value to stakeholders. Recommend changes to Risk and Control Services processes and methodologies, as appropriate.

Required Qualifications

• Bachelor's degree (or equivalent)
• 5-7 years of experience
• Experience with leading multiple projects
• Expanded knowledge/understanding across multiple lines of business and/or develop knowledge/understanding in critical subject matter area
• Ability to transfer knowledge and assist others to expand audit skills and business knowledge
• Ability to coordinate with appropriate control groups in planning and executing assigned work
• Solid knowledge and proper application of control and audit theory

Preferred Qualifications

• Experience with broker-dealer functions and related compliance requirements.
• Accounting or Finance degree
• CIA, CISA, CPA, CFSA