Internal Audit Manager

• Develop and implement a comprehensive internal audit plan tailored to risk assessments and organizational needs
• Create and refine audit policies, procedures, and testing methodologies in alignment with industry standards
• Conduct audits to ensure compliance with FINRA regulations, including rules such as 15c3-1, 15c3-3, and 17a-5
• Review financial and operational controls, including reserve computations, net capital calculations, and securities processing
• Evaluate risks across business operations, ensuring robust controls and validating SOC 1/SOC 2 reports
• Assess cybersecurity protocols, system access controls, and data privacy measures to mitigate technological risks
• Execute audit plans with defined scopes, documenting findings and presenting results to senior leadership and the Board
• Collaborate with external auditors and internal teams across compliance, operations, finance, and technology
• Monitor remediation efforts to address audit findings and promote a strong control culture within the organization
• Act as a key stakeholder in shaping the firm’s risk and compliance strategy while ensuring operational effectiveness

• 10–15 years of experience in internal audit, compliance, or broker-dealer operations
• Extensive knowledge of FINRA and SEC regulations, with hands-on familiarity in broker-dealer environments
• Proficiency in auditing financial reporting controls and operational processes, including clearing and custody
• Strong technical skills, including advanced proficiency in Excel and familiarity with auditing tools such as COBIT and Dynamics
• Licensing requirements: Series 7 certification required
• Series 27 certification A MUST
• Audit certifications such as CPA or CIA are advantageous
• Exceptional analytical, communication, and documentation skills, with the ability to work independently
• Experience building and leading audit functions from the ground up in a regulated environment

Audit certifications such as CPA or CIA are advantageous

• medical, vision, dental, and life and disability insurance
• eligible to enroll in our company 401(k) plan