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    Internal Audit Manager - San Diego, United States - Cetera Financial Group

    Cetera Financial Group
    Cetera Financial Group San Diego, United States

    4 weeks ago

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    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

    #J-18808-Ljbffr
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