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Wealth Enhancement · 1 day ago

Internal Audit Manager

United States

Full-time

Remote

Senior Level

$135K/yr - $150K/yr

7+ years exp

Wealth Enhancement is an independent wealth management firm dedicated to enriching the lives of clients through personalized financial planning. They are seeking an Internal Audit Manager to lead risk-based audits, focusing on leveraging AI and emerging technologies for process improvements and risk mitigation.

Financial ServicesRisk ManagementWealth Management

Responsibilities

Lead and manage risk-based internal audits across financial services and brokerage functions, ensuring compliance with regulatory requirements and internal policies

Evaluate the design and effectiveness of internal controls, with a focus on AI-enabled processes, data analytics, and automation tools

Collaborate with cross-functional teams to assess risks associated with the implementation and use of AI technologies, including model governance, data integrity, and ethical considerations

Provide advisory support to business units on process optimization, control enhancements, and technology adoption

Perform audits according to the plan. Ensure audit test work, including documentation and reporting, are executed in accordance with professional standards

Ensure that all audits and guidance are complete, accurate, timely, reliable and relevant

Assist in the selection and development of internal audit staff members to ensure effective and efficient execution of audits

Oversee completion of audit test work performed by third parties

Support the development of the annual audit plan, incorporating feedback received from business leaders and knowledge of strategic priorities to inform risk assessments

Foster a collaborative approach to risk mitigation by partnering with business leaders to proactively communicate audit plans and expectations prior to audit period, obtain buy-in on purpose and relevance of key controls being tested and develop remediation plans

Communicate audit findings and recommendations to responsible managers and ensure that appropriate action is taken

Ensure audit results are corroborated and reviewed with key stakeholders prior to finalization

Provide advice and counsel to management on complex risk management, control issues and development of other internal controls

Establish process to track, follow-up, close and report on Management Action Plans that have been laid out to remediate gaps identified through audits

Assist in evaluation, planning and implementation of internal audit tracking tools

Qualification

Internal auditing experienceFinancial services expertiseRisk managementAI technologiesData analyticsProcess optimizationInter-personal skillsTeam developmentCoachingCommunication skills

Required

Bachelor's degree required

Internal auditing experience required

7+ years relevant experience is required

Inter-personal and communication skills working with people at all levels

Experience communicating sensitive information

Experience coaching, developing and building a team of accounting professionals

Preferred

MBA/CMA/CPA preferred

Prior experience working for a broker-dealer, RIA firm or financial services organization in a publicly traded company is preferred

Benefits

Training and professional development

Medical, dental and vision coverage (Available to full-time employees and their families)

Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses

Life and AD&D insurance – employer paid and voluntary options

Short-term and long-term disability, workers compensation – employer paid

401k with match and profit sharing

Wellness programs and resources

Voluntary benefits, including pet insurance

18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)

12 paid holidays each year (10 pre-determined and 2 floating days)

Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)

Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Company

Wealth Enhancement

In 1997, four advisors sharing an office space discovered they also shared an essential belief: The financial services industry needed a new and better way to provide advice to clients—one that would help relieve stress from their clients’ financial lives.

Founded in 1997

Plymouth, Minnesota, USA

1001-5000 employees