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Manager, Internal Audit Risk Assurance
4 months ago
Job Description
At Cetera, we strive for continuous improvement and evolution towards excellence. To achieve this, we require the right individuals who can support and ensure our success. Our corporate team is the backbone of our operations, providing support in various areas such as legal, finance, and HR. We offer diverse business opportunities that are constantly evolving, providing meaningful prospects for growth to everyone. If you are proactive, adaptable to change, and thrive in a fast-paced and dynamic environment, the possibilities for advancement and success are limitless. We are current seeking an Audit Manager to join our team at our San Diego, CA location. The Audit Manager position encompasses the execution and delivery a best-in-class program. The individual will play a key role in influencing positive change throughout the audit department and will participate on other special projects, as applicable. This highly visible position will report to the Head of the Internal Audit.
What you will do:
Plan, execute and report compliance of operating units, including control audits and operational audits
Document process and prepare audit findings memorandum
Interact with management to discuss issues and recommendations for improvement
Perform, support and document controls for testing
Test compliance with Company policies and procedures
Recommend process and policy improvements
Follow up to ensure that approved recommendations are implemented
Prepare sufficient working paper documentation to support audit procedures
Develop and analyze reports that identify key operating metrics
Prepare and manage monthly and quarterly internal audit reports and activities
Analyze operating budgets and capital plans, re-forecasts and cash flow assumptions
Communicate with all necessary departments to ensure the company remains in compliance with obligations and commitments to the Internal Audit plan
Perform and control the full audit cycle including risk and control management over operations' effectiveness, financial reliability and compliance with all applicable directives and regulations
Stay abreast of industry trends, transactional activity, and outside research perspectives relative to Broker Dealers
What you will have:
Ability to maintain a high level of confidentiality Bachelor's Degree required, Master's degree preferred
5+ years previous experience of auditing regulatory compliance frameworks including evaluating compliance with OCC, FINRA, etc.
3+ years experience of working within a manager-level audit role, probably in a Big Four accounting firm or another large global organization.
3+ years experience within the Financial Services, Banking, Broker Dealer, RIA, etc.
Ability to integrate with, manage and motivate teams in US and across different locations including effective working with external co-sourced provider teams
High level of personal integrity, tenacity and independence
An open and flexible communication style, able to adjust your approach and influence others, including senior management teams
Ability to analyze complex issues from a range of perspectives and form considered judgements around the actions to be taken
Strong project management and report writing skills
Compensation
The base annual salary range for this role is $130,000 to $155,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Onsite-
Fully on-site
About Us
What we give you in return:
Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
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 days of paid volunteer time off (VTO) 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
About Cetera Financial Group:
Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note : this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
Please review our Workforce Privacy Policy for further details on what information we collect and the purposes for collection.
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