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Audit Manager - Brokerage and Wealth Management
Ally
Fort Washington, PA, United States
Job Details - this job has expired, please see similar jobs below
Ally Requisition #
18-5857
Job Description
Position Description
Responsible for audit project management, resource management, and relationship management specific to Ally's Brokerage and Wealth Management operations (broker/dealer securities, investment advisor, foreign exchange and futures contracts). Though primarily responsible for wealth management audits, may also manage on-line banking, deposit, and customer care audits as well. The Audit Manager will help identify and evaluate risks and corresponding test plans and will have a critical role in the execution of efficient and effective audit projects; conclude and report on the adequacy and effectiveness of internal controls, governance and risk management; and effectively communicate results to management.
Job Responsibilities
• Manage the overall execution and completion of concurrent (typically two) audit projects on a timely basis.
• Manage the audit to focus on key risks and ensure efficient and effective delivery with the highest quality, in compliance with professional standards and audit policies.
• Review and interpret work papers and analyses presented by team members and consistently draw the right conclusions.
• Prepare for and conduct key audit meetings and presentations with management.
• Inspire and challenge audit teams to achieve excellent performance and collaboration.
• Mentor and develop audit staff and act as a knowledge resource.
• Effectively identify and communicate unusual/difficult problems and recommended solutions to audit leadership.
• Assess audit staff against established performance and leadership criteria; provide timely, honest and meaningful project evaluations. Establish open and effective communication with management and work collaboratively with functional partners across the organization.
• Serve as contact with line of business management in a collaborative way to foster positive working relationships, promote Audit's image, provide control advice and issue trends and to stay abreast of major business activities and changes in the business; and make audit plan recommendations as necessary.
• Support continuous process improvement by identifying needs and opportunities and recommending appropriate process changes; champion common audit process approach; recommend process changes to maintain the highest quality standards.
• Assist Audit leadership, as appropriate in communicating with and fulfilling information requests from federal and state regulators.
Qualifications
• Bachelor's degree in related field of study.
• 7-10 years of relevant experience within the financial services industry and/or public accounting.
• Strong critical thinking skills and experience auditing risks in a dynamic organization.
• Strong analytical and communication skills.
• Strong leadership and managerial skills (detail-oriented, deadline driven, self-directed, organized, etc.) with proven track record of increasing responsibilities within the organization.
• Effective project management skills and the ability to manage several projects/activities simultaneously.
• Ability to multi-task and work well in a changing environment.
• Demonstrated skill in successfully managing audit teams with an emphasis on staff development.
• Ability to develop and maintain strong management relationships within assigned audit area(s).
• Proficient in MS-Word, Excel, PowerPoint, and Outlook. Experience with TeamMate and Flowcharting software a plus.
• Knowledge of online broker/dealer, registered investment advisor, for-ex and futures (e.g. FINRA, SEC, NFA), and other industry regulations/frameworks (e.g. COSO and SOX) preferred.
• Knowledge of data mining and analytical tools preferred (SAS, ACL, IDEA, MS Access).
• Related certification strongly preferred (CPA or CIA preferred).
• Occasional travel required.
Ally Overview
Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. financial holding company offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and the company was redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. Ally has an award-winning online bank (member FDIC), one of the largest full service auto finance operations in the country, a complementary auto-focused insurance business, a growing digital wealth management and online brokerage platform, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies.
Business Unit/Enterprise Function
Audit Services contributes to Ally's success by providing stakeholders with timely, relevant and objective enterprise-level perspectives and assurance regarding, the effectiveness of governance, risk management and internal control. Audit teams are organized to support Ally's major business units and corporate functions and operate in accordance with the International Professional Practices Framework of the Institution of Internal Auditors (IIA).
Total Rewards Information
Ally's compensation program offers market-competitive base pay and bonus pay potential based on achieving personal and company goals. Plus, we have a flexible paid time-off program with an emphasis on work-life balance.
Ally offers a variety of benefits to protect your health and well-being, provide financial security and balance your work-life needs including:
• Industry-leading 401K Retirement Savings Plan including Matching and Company Contributions
• Comprehensive wellness program with financial incentives designed to help you achieve your best health
• Flexible health insurance options including dental and vision
• Pre-tax Health Savings Account with generous employer contributions
• Pre-tax dependent care and commuter benefits
• Other work-life integration benefits including Paid Parental & Caregiver Leave, Adoption Assistance, Back-up Child & Adult/Elder Care, Child Care Discounts, Tuition Reimbursement, LifeMatters Employee Assistance Program, Weight Watchers and other employee discount programs
Ally is an Equal Opportunity Employer
We extend equal employment opportunities to qualified applicants and employees on an equal basis regardless of an individual's age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.