Manager, Internal Audit Risk Assurance

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.

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