VP, Deputy Head of Internal Audit

Company: Advisor Group
Location: Jersey City
Posted on: March 14, 2023

Job Description:

Advisor Group CareersBe a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.Be a part of the team behind our success! At Advisor Group, we support more than 11,000 financial professionals, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.Internal Audit Opportunity in Financial Services Vice President/Deputy Head of Internal Audit Location(s): 20 E Thomas Road, Phoenix, AZ 850122300 Windy Ridge Parkway, Atlanta, GA 303397755 Third Street North, Oakdale, MN 5512810 Exchange Place, Jersey City, NJ 07302877 Executive Center Drive West, St. Petersburg, FL 3370212325 Port Grace Boulevard, La Vista, NE 68128Role Type: Full time. Open to hybrid and remote candidates. Summary: This role will report to the SVP and Head of Internal Audit. VP Internal Audit is responsible to lead risk-based internal audits of our businesses and corporate functions. This role will work very closely with senior leadership within Finance, Risk, Compliance, Legal, Operations and other Corporate and Business groups. This role will also collaborate with Internal Audit co-source partners and external auditors of Advisor Group.Why Advisor Group?

• Competitive salary and annual bonus paid based on performance
• Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
• Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
• 401(k) match from day one of employment
• Referral bonuses if we hire your referred applicants to our open positions
• An enriching and engaging career in financial services - our employees overwhelmingly report that they find meaning and purpose in their day to day work
• Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring eventsResponsibilities:
  • Support the Head of Audit with special projects, audit committee and risk committee preparations, and participation in governance committees
  • Support the Head of Audit on on-going risk assessment, stakeholder discussions, development of audit plan and ad-hoc advisory to business
  • Manage execution of business and operations audits and ensure quality and timely completion of the audit plan. Ensure audit test work, including documentation and reporting, is executed in accordance with department and professional standards and completed timely.
  • Ensure effective reporting of audit results through effective verbal and written communication. 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 and risk groups (e.g., SOX program, operational risk program).
  • Oversee Internal Audit's processes to track, follow-up, close and report on Management Action Plans that have been laid out to remediate gaps identified through audits.
  • Incorporate best practices related to the role of Internal Audit into Advisor Group's Internal Audit methodology
  • Lead building an internal Quality Assurance program to ensure a robust audit methodology is set up and followed, in accordance with IIA's requirements
  • Support the Head of Audit to hire, train and manage Internal Audit team and help develop a culture of continuous improvement and teamwork
  • Support expanding Internal Audit team through new hires and potential guest auditor/Internship programs
  • Provide other internal audit status reporting as required.
  • All other duties as assigned.Requirements:
    • Bachelor's degree is required. MBA or advanced degrees are preferred.
    • Minimum of 10 year's professional experience in accounting, finance, or audit
    • Knowledge of Financial Services industry, particularly broker-dealer set-up
    • CPA, CIA, or similar qualification preferred
    • High level of project management skills. Exceptional organizational and time management skills with the ability to set priorities and meet deadlines.
    • Solid understanding of risk and controls.
    • Ability to proactively engage with stakeholders and communicate complex risk areas in "plain" English
    • Possess significant business and personal leadership skills, initiative, independent judgment, and negotiation skills
    • Team oriented and a proven people managerTo Apply: Apply through the link in the job posting or visit and search for "Audit".Equal Opportunity Employer Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, race, color, religion, sex, national origin, disability status, protected veteran status, sexual orientation or gender status, or any other characteristic protected by law.EligibilityApplicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.Job Posting Disclaimer The above statements are not intended to be a complete statement of job requirements, but rather a guide to some of the essential functions of the position. Management retains the discretion to add or change the duties of the position at any time.Statement to All Third-Party Agencies & Similar Organizations: We accept applications from recruiting agencies only when we have a written contract with the agency. Advisor Group will not pay recruiting fees associated with applications or candidates unless 1) it has a written contract with the agency, 2) the specific search has been approved in advance by Advisor group, and 3) there is an email or other document demonstrating Advisor Group's approval of the search.Unqualified ApplicationsAdvisor Group does not consider applications fromcandidateswho do not meet the minimum qualifications stated inthejob posting.Advisor Group, Inc. is the nation's largest network of independent wealth management firms, serving approximately 11,000 financial professionals and overseeing over $400 billion in client assets. The firm is mission-driven to support the strategic role that financial professionals can play in the lives of their clients. Securities and investment advisory services are offered through the firms: FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Triad Advisors, LLC, and Woodbury Financial Services, Inc., broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., a broker-dealer and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, Ladenburg Thalmann Asset Management, Inc., Securities America Advisors, Inc., and Triad Hybrid Solutions, LLC, registered investment advisers. Advisory programs offered by FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., and Woodbury Financial Services, Inc., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser. Advisor Group, Inc. is an affiliate of these firms.Current Employees and Contractors Apply Here

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