Senior Internal Auditor

Job Description

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.

What you will do:

• Plan, execute, and report compliance of operating units, including control audits and operational audits.
• Documentation: 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.
• Collaboration: Work closely with cross-functional teams, including IT, Information Security, Business Options, and Compliance, to facilitate communication and understanding of control requirements.
• Risk Assessment: 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.
• Continuous Improvement: 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.

What you need to have:

• 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).

What is nice to have:

• 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.

Our top performers share the following traits:

• Highly organized and detail-oriented.
• Highly motivated and driven, with the ability to work independently or as part of a team.
• Ability to keep meticulous records, maintain accuracy, and not lose sight of important details.

#LI-DNI

About Us

What we give you in return:

Not many teams can say that they support people's dreams coming to life... We happen to do that every day. And as important as we know your career is, we recognize that there's a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• 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) 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.

About Cetera Financial Group:

Cetera Financial Group ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.

Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.

"Cetera Financial Group" refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions,and Cetera Financial Specialists.

Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.

Agencies please note: this recruitment assignment is being managed directly by Cetera's Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.

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