Cetera Financial Group ยท 3 weeks ago
Senior Manager Internal Audit
Dallas, TX
Full-time
Hybrid
Senior Level, Lead/Staff
$122K/yr - $182K/yr
8+ years expCetera Financial Group is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice. They are seeking an experienced Senior Manager, Internal Audit to lead the audit process and advise on internal controls and risk management activities to ensure compliance with regulations and company policies.
AdviceFinancial ServicesRetailRetirementWealth Management
Hiring Manager
Hailey Bernier
Responsibilities
Provide strategic insights and recommendations to the Managing Director, Risk Oversight and external parties to enhance the company's risk management and internal control environment
Continuously identify, evaluate, and communicate on existing and evolving strategic risks to the organization and our business
Maintain and optimize a risk management framework, identifying potential risks and implementing mitigation strategies to address control gaps and deficiencies
Source and manage various external auditor, consulting, and professional services vendor relationships, including pricing negotiations, scoping of work, and performance evaluation
Lead control risk assessments, scoping, test planning, process narrative review, walkthroughs, reporting, and continuous monitoring activities
Foster risk and control awareness through cross-functional partnerships to ensure a robust internal control environment and promote process improvement initiatives
Provide strategic advice on the inclusion of automated controls in key system implementations
Orchestrate timely completion of audit projects by facilitating effective communication and coordination between external audit, internal audit, and control owners
Oversee GRC platform to ensure continued efficacy, recommending enhancements and/or remediating deficiencies as needed
Collaborate with external auditors, legal advisors, and other stakeholders to ensure seamless integration and compliance in mergers and acquisitions
Other duties as assigned
Qualification
Required
Bachelor's degree or equivalent work experience
8 years of experience in internal audit, enterprise risk management, or an operational risk department, with at least 5 years in a leadership role
5 years of experience working with regulatory, operational and compliance frameworks, including evaluating compliance with GITC, FINRA, SEC, OCC, etc. requirements
3 years of experience with a broker/dealer, investment advisor, bank, or trust company
Knowledge of internal control frameworks and ability to assess and improve control systems
A strong grasp of risk assessment methodologies, risk mitigation strategies, and the ability to identify and evaluate potential risks is vital for effective audit planning and execution
Deep understanding of operational risk and ability to identify potential risks and ensuring accuracy of ongoing procedures
Ability to understand IT systems and associated controls, cybersecurity risks, and the impact of technology on business operations and activities
Solid business acumen to understand business operations, industry trends, and alignment of audit activities to strategic goals and organizational priorities
Critical thinking and analytical skills to analyze situations objectively, see around corners, challenge assumptions, and identify potential risks and weaknesses
People-first leadership skills to motivate, mentor, and manage team members while fostering a culture of collaboration, accountability, and continuous improvement
Collaboration and relationship management skills to build and maintain strong relationships with stakeholders across the organization
Preferred
Professional certifications with an audit or risk focus, such as CIA, CISA, CRMA, or RIMS-CRMP
FINRA Series 7, 24, and/or 65/66
Benefits
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 paid wellness days 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.
Company
Cetera Financial Group
Cetera Financial Group is a privately-held, independent broker-dealer and investment adviser families.
1001-5000 employees
H1B Sponsorship
Cetera Financial Group has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (7)
2024 (3)
2023 (5)
2022 (2)
2021 (2)
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Genstar Capital
2023-10-04Private Equity
2018-07-17Acquired
Leadership Team
Michael Durbin
Chief Executive Officer
Tom Gooley
Chief Operating Officer
Recent News
2026-01-07
2026-01-07
2025-12-27
Company data provided by crunchbase