Financial Institutions Internal Audit & Controls Manager

Overview

This role is for a Financial Institutions Internal Audit & Controls Manager within a Risk Advisory practice focused on governance, internal audit, compliance, IT, and cybersecurity risk best practices.

You will partner with client executives and management teams to identify and manage financial and operational risks, and help implement new processes and controls that address key risks.

Responsibilities

• Work closely with client executives and management teams to understand business operations and assist in identifying and managing financial and operational risks within business processes and systems.
• Develop in-depth knowledge of clients’ businesses and industries through direct client interaction and work across multiple aspects of an engagement.
• Think independently and strategically about clients’ business, systems, and risks, providing recommendations for business and process improvements.
• Provide strategic business advice by assisting with implementation of new processes and controls that address key risks.
• Assess, manage, and optimize business risk across operational audit, enterprise risk management (ERM), and SOX compliance.
• Review clients’ processes and controls against industry frameworks; identify gaps in design and execution and communicate issues and recommendations.
• Draft comprehensive executive summaries and final reports; document and review engagement work papers in accordance with industry-accepted internal audit methodologies.
• Build client relationships and communicate effectively to deliver superior client service.
• Facilitate professional and effective presentations to internal and external audiences.
• Continue to develop knowledge working with a variety of technology environments, platforms, applications, and tools/utilities.
• Assist with managing client engagement staffing and billings/collections to ensure client profitability targets are met.
• Use entrepreneurial skills to network and build strong relationships internally and externally with clients and the community.
• Invest in professional development through individual efforts and participation in firm-wide learning and development programs.
• Support growth and development of team members.
• Promote a work-life balance through engagement in team activities and social events.

Minimum Required Qualifications

• 4 year degree
• Five (5) years of experience

Preferred Qualifications

• Bachelor’s degree in accounting, finance or a related program
• CPA or CIA designation(s) required
• 5+ year(s) experience in risk advisory, internal/external audit, SOX/FDICIA, and/or internal controls, including direct experience within the financial services industry (banking experience strongly preferred)
• Demonstrated experience leading internal audit and/or SOX/FDICIA engagements, including:
  • risk assessment and scoping
  • process and control documentation
  • walkthroughs
  • control testing
  • evaluation of control design and operating effectiveness
  • identification of control deficiencies
  • remediation and reporting
• Experience managing client engagements and teams, including project planning, staffing, engagement execution, client communications, and delivery of high-quality work products
• Experience communicating audit and control observations, findings, recommendations, and remediation matters to client management and other key stakeholders
• Prior experience as a client-serving professional in a consulting, advisory, or public accounting environment strongly preferred
• Excellent analytical, technical, and problem-solving skills with strong attention to detail
• Exceptional verbal and written communication, collaboration, project management, and time management skills

Compensation & Benefits

Pay rate ranges by location:

• Chicago, IL: $118,100 to $187,200
• New York, NY: $134,200 to $212,800
• Philadelphia, PA: $118,100 to $187,200
• Denver, CO: $118,100 to $187,200
• Nashville, TN: $107,300 to $170,200
• Miami, FL: $107,300 to $170,200
• Frisco, TX: $112,700 to $257,400
• Irvine, CA: $123,400 to $195,800

Actual compensation is influenced by factors including skills, prior experience, qualifications, degrees/certifications, work arrangements, and geographic location. A comprehensive compensation and benefits package is offered to eligible employees.

Location

Opportunities available in: Chicago, IL; New York, NY; Philadelphia, PA; Denver, CO; Nashville, TN; Miami, FL; Frisco, TX; Irvine, CA.

Work location status requirements should be discussed with the employer’s talent acquisition professional for the specific opportunity being explored.