Senior Internal Auditor

About the position

Cetera Financial Group (CFG) is seeking a Senior Internal Auditor who will be responsible for executing and delivering a best-in-class audit program. The individual will play a key role in influencing positive change throughout the audit department and will participate in other special projects, as applicable. This highly visible position will report to the Head of Internal Audit.

Responsibilities

• Plan, execute, and report compliance of operating units, including control audits and operational audits.
• Develop testing documentation templates and prepare clear and concise documentation of testing procedures, test results, findings, and recommendations for improvement, ensuring compliance with audit standards.
• Work closely with cross-functional teams, including IT, Information Security, Business Options, and Compliance, to facilitate communication and understanding of control requirements.
• Lead efforts in identifying and evaluating risks associated with internal controls, providing insights to help mitigate potential threats to financial integrity and regulatory compliance, and identifying opportunities for implementing automated control testing and continuous monitoring.
• Contribute to the ongoing development and enhancement of internal control processes, policies, and procedures, as well as automated control testing to align with industry best practices and regulatory changes.
• Document process and prepare audit findings memorandum.
• Perform, support, and document controls for testing.
• 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.
• 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.

Requirements

• Ability to maintain a high level of confidentiality; bachelor's degree required; Master's degree preferred.
• Ability to obtain Series SIE, Series 7, and CISA within the first year.
• Demonstrated project management and report writing skills.
• Ability to integrate with, manage, and motivate teams in the US and across different locations, including effective working with external co-sourced provider teams.
• Bachelor's degree in information technology, Computer Science, Finance, Accounting, or a related field.
• Proficient with Business Intelligence and Data Analytic Tools (i.e., Tableau or Microsoft Power BI).
• Excellent analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Detail-oriented with a high level of accuracy.
• Knowledge of industry standards and regulations related to financial institutions' IT and security controls.
• Previous experience in internal audit, compliance, or security control testing.
• Familiarity with Internal Controls over Financial Reporting (ICFR) or Sarbanes Oxley (SOX).

Nice-to-haves

• FINRA licenses are highly desirable (7, 63, 65, 24, or 27).
• Relevant IT audit or Information security certifications such as CISA, CIA, CISSP, or equivalent.
• Business Intelligence and Data Analytics certifications such as Certified Tableau Data Analyst or FRB, Trust, and OCC operational familiarity are highly desirable.

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, 1 paid wellness day and 1 day of paid volunteer time off (VTO).
• 401(k) Savings plan with a generous company contribution (up to 5%).
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.