Cetera Financial Group · 4 weeks ago
Senior Manager, Internal Audit
Dallas, TX, United States
Full-time
Hybrid
Senior Level, Lead/Staff, Director/Executive
$122K/yr - $182K/yr
8+ years expCetera Financial Group is a dynamic and rapidly growing company seeking an experienced Senior Manager, Internal Audits to join our team. This highly visible role is pivotal in guiding the company through various stages of growth, leading the audit process, and ensuring compliance with laws, regulations, and company policies.
AdviceFinancial ServicesRetailRetirementWealth Management
Responsibilities
Provide strategic insights and recommendations to the Director, Regulatory Exams & Audits and external parties to enhance the company's risk management and internal control environment
Collaborate with external auditors, legal advisors, and other stakeholders to ensure seamless integration and compliance in mergers and acquisitions
Consult with key company leaders to provide strategic guidance on actions to remediate control gaps and deficiencies
Lead control risk assessment, 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
Provide strategic advice on the inclusion of automated controls in key system implementations
Maintain and optimize a risk management framework, identifying potential risks and implementing mitigation strategies
Evaluate and communicate strategic risks to Risk Leadership to foster process improvement initiatives
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
Qualification
Required
Bachelor's degree in business or a related field
8 years of experience in internal audit or an operational risk department, with at least 5 years in a leadership role
5 years of experience auditing regulatory, operational and compliance frameworks, including evaluating compliance with OCC, FINRA, etc
3 years of experience within the Financial Services, Banking, Broker Dealer, RIA, etc
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, cybersecurity risks, and the impact of technology on the business
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, challenge assumptions, and identify potential risks and weaknesses
Ability to resolve complex problems, develop innovative solutions and drive process improvements
Effective leadership skills are needed to motivate, mentor, and manage the internal audit team, 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
Risk assessment, scoping, test planning, process narratives, walkthroughs, reporting, and continuous monitoring activities
Benefits
Competitive performance-based bonus
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
Dan Burkott
Chief Compliance Officer - Tax Channel
Recent News
2026-01-07
2026-01-07
2025-12-27
Company data provided by crunchbase