Temporary Manager - Wealth Management Audit

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Temporary Manager Wealth Management Audit

Location: Dallas TX or New York NY (Hybrid)

Overview

RSM is seeking an experienced Audit Manager to support Wealth Management audit activities within a large global banking environment. This role is responsible for leading risk-based audits from planning through reporting and for evaluating governance risk management practices and internal controls across Wealth Management businesses.

Key Responsibilities

• Lead and execute end-to-end internal audit engagements across Wealth Management functions.
• Develop audit scopes perform walkthroughs identify key risks and controls and oversee audit testing activities.
• Assess the design and operating effectiveness of internal controls and risk management processes.
• Identify control deficiencies develop audit findings and deliver clear actionable recommendations.
• Manage all phases of the audit lifecycle including planning fieldwork issue development and reporting.
• Partner with business stakeholders risk functions and control teams throughout audit engagements.
• Ensure audits are executed in accordance with internal audit standards methodology and regulatory expectations.
• Mentor junior team members and contribute to overall engagement quality and execution.

Qualifications

• 7 years of experience in Internal Audit Risk Management Compliance Controls or a related function within financial services.
• Proven experience leading and executing audits from planning through reporting.
• Deep understanding of audit methodology risk assessments control evaluation testing issue development and reporting.
• Strong project management skills with the ability to manage multiple engagements and competing priorities.
• Exceptional analytical written and verbal communication skills.
• Ability to effectively engage stakeholders and present findings to leadership.

Preferred Experience

• Wealth Management audit experience or strong knowledge of Wealth Management products services risks and control environments.
• Experience auditing one or more of the following areas:
  • Brokerage and investment advisory activities
  • Private banking
  • Trust and fiduciary services
  • Regulatory compliance within Wealth Management businesses
• Experience within a large banking or financial services organization.
• Familiarity with industry regulatory expectations and evolving risk trends impacting Wealth Management.

Work Arrangement

Hybrid work schedule based on business and engagement requirements.

At RSM we offer a competitive benefits and compensation package for all our offer flexibility in your schedule empowering you to balance lifes demands while also maintaining your ability to serve more about our total rewards at applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs practices or observances; sex (including pregnancy or disabilities related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal state or local law.

Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/ is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application interview or otherwise participate in the recruiting process please call us at or send us an email at .

RSM does not intend to hire entry level candidates who will require sponsorship now OR in the future (i.e. F-1 visa holders). If you are a recent U.S. college / university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying excluding internships you may be eligible for hire as an experienced associate.

RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California please click here for additional information.

At RSM an employees pay at any point in their career is intended to reflect their experiences performance and skills for their current role. The salary range (or starting rate for interns and associates) for this role represents numerous factors considered in the hiring decisions including but not limited to education skills work experience certifications location etc. As such pay for the successful candidate(s) could fall anywhere within the stated range.

Compensation Range: $54 - $80 per hour

Required Experience:

Manager