Job Description:

• The Internal Audit Manager position has direct oversight of the audit work being conducted by their audit team; they can also assume the role of Auditor In-Charge for more complex audits.
• Audit Managers have supervisory responsibility for one or more employees.

Responsibilities:

Strategic Control Impact

• Identify meaningful issues from audit fieldwork
• Work closely with auditees to validate timely progress and completion of agreed remediation plans
• Develop strong relationships with business partners
• Monitor and review staff work to ensure timely remediation of control issues
• Support risk management priorities

Audit Execution

• Manage the audit lifecycle and communicate potential issues to IAD and Business Management.
• Contribute to the development of the annual audit plan and periodic reassessment of risk coverage
• Consistently demonstrates an ability to complete high quality and risk-focused audits on time and on budget, notifying IAD Management promptly of any possible impediments to success or when budgets might be exceeded
• Review audit work performed by his or her staff to ensure audit documentation standards are adhered to
• Develop and effectively communicate audit issue and reports with IAD and Business Management to facilitate timely report clearance

Quality Process:

• Demonstrate a strong knowledge of IAD’s policies and procedures
• Works with Audit leadership to continuously review and improve processes
• Individual & Team Development
• Demonstrate a strong commitment to teamwork, helping peers wherever possible
• Identify and seize opportunities to grow skills, talents, and knowledge about audit planning, reporting, and the products and functions he or she audits
• Coaches and develops his or her staff

Qualifications:

• Strong audit or risk management is required. Some background particularly in market, credit, liquidity, quantitative/model risk management would be desirable.
• Strong written and oral communication skills and demonstrated presentation skills and experience interfacing with senior management
• Strong analytical and problem-solving skills, attention to detail, and ability to ask the right questions and challenge the status quo in a professional manner
• Self-starter, with the ability to work independently and in teams
• Strong organizational skills and the ability to effectively manage multiple audits and other audit related tasks (e.g., continuous monitoring, issue validation)
• Minimum of 8 years of related experience
• Bachelor’s degree

Additional Qualifications:

• Certifications related to the incumbent’s coverage responsibilities, such as Certified Public Accountant, Financial Risk Manager (FRM), Certified Financial Analyst (CFA), Certified Internal Auditor (CIA), Certified Information Systems Auditor (CISA)
• Experience working in broker dealer or investment banks a plus