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About the Role
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.
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.
Requirements
- 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.
- 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.
- 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.
Skills
- Internal Audit
- Risk Management
- Compliance
- Controls
- Financial services
- Audit methodology
- Risk assessments
- Control evaluation
- Testing
- Issue development
- Reporting
- Project management
- Analytical skills
- Written communication skills
- Verbal communication skills
- Stakeholder engagement
- Wealth Management audit
- Wealth Management products
- Wealth Management services
- Wealth Management risks
- Wealth Management control environments
- Brokerage and investment advisory activities
- Private banking
- Trust and fiduciary services
- Regulatory compliance
- Banking
- Financial services organization
- Industry regulatory expectations
- Risk trends
Location
- Dallas, TX
- New York, NY
Work Type
- Hybrid
Experience Level
- 7+ years of experience
- 1-2 years of progressive and relevant work experience (for experienced associate eligibility)
Salary/Compensations
- $54 - $80 per hour
Benefits
- Competitive benefits and compensation package
- Flexibility in your schedule
About the Company
- We are the leading provider of professional services to the middle market globally, our purpose is to instill confidence in a world of change, empowering our clients and people to realize their full potential.
- Our exceptional people are the key to our unrivaled, culture and talent experience and our ability to be compelling to our clients.
- You’ll find an environment that inspires and empowers you to thrive both personally and professionally.
- There’s nowhere like RSM.
Equal Opportunity
- All 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/partnership.
- RSM 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 800-274-3978 or send us an email at careers@rsmus.com.
- For those living in California or applying to a position in California, please click here for additional information.