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 no one like you and that’s why there’s nowhere like RSM.
Location: Dallas, TX or New York, NY (Hybrid)
OverviewRSM 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.
- 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.
Hybrid work schedule based on business and engagement requirements.
At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.
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 [email protected].
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 employee’s 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 hourRSM US LLP New York, New York, USA Office
New York, United States
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