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Managing Director First Line Control Testing

Austin, TX

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BA/BS Job Type: Full Time Description: Westlake - TX, TX2050R, 2050 Roanoke Road, 76262-9616 Pamela Ferrell 0808-42627   We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every clientu2019s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of u2018own your tomorrowu2019 every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed. As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future. Our Opportunity: The 1 st Line of Defense (LOD) testing group is responsible for monitoring and evaluating the effectiveness of internal controls established to mitigate identified risks.  The Managing Director is responsible for managing the execution of independent and objective evaluations of the effectiveness of risk management, control, and governance processes.  The candidate will support the risk program by developing and leading a high functioning team in the performance of activities that are in alignment with testing policies and compliance, regulatory and accreditation standards.  Additionally, they will provide the tools, systems and resources necessary for team members to effectively assess and manage risk while building a strong culture of risk management integrity.    What youu2019ll do:  Develop and maintain strong stakeholder relationships through regular engagement and communications with business leaders to ensure that significant business risks are identified and addressed, management action plans are completed timely and leaders are aware of program activities impacting their areas of responsibility Develop an in-depth understanding of the operations for assigned regions and/or functions to the extent necessary to identify efficiency or effectiveness issues that result in cost savings, productivity improvements, control environment improvements or the elimination or reduction of specific business or operating risks Manage the preparation of periodic reports providing a holistic review of the risk management program activities, testing results and risk concerns for senior leaders; define data analytics needs, requirements and reporting to present key performance indicators of the testing program Implement an efficient quality assurance program to measure the success of testing results, adherence to schedules and quality of results; including serving as a liaison and managing any external partnerships with third-party vendors conducting risk assessments Continually evaluate the need for enhancements to the Program; partnering across other 2nd & 3rd Line of Defense testing/audit groups to align testing standards where possible Anticipate business trends, evolving technologies or practices, and/or regulatory changes to produce a comprehensive set of tools, systems and practices to support the control testing program, identify key risk exposures and contribute to the detection of early warning indicators This is a summary only and duties and responsibilities may be changed from time to time, or over time. What you have:  Required Competencies: Ability to drive business outcomes that balance Risks/Rewards across wide range of stakeholders Excellent leadership, people management and organizational development skills, with a demonstrated ability to motivate in a team-oriented and collaborative work environment, and promote, foster and build a diverse and inclusive workforce Demonstrated written and oral communication skills and ability to drive change and influence senior leaders Sound judgment to influence a strong risk management culture across business practices Demonstrated success in audit management in a highly collaborative environment to influence compliance and controls while building strong internal and external partnerships, coaching and guidance to varied stakeholders Ability to build strong relationships and work cross functionally with internal and external constituents Bacheloru2019s degree in Accounting, Finance or Business Administration 5 years of related work experience in Risk/Business management, including 5 years people management experience Advanced knowledge of risk, internal controls and loss prevention Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau Preferred Competencies: Series 7, 9/10 or 24 (active registration) Advanced degree such as MBA, professional designation such as CPA, CIA and/or prior Big 4 public accounting experience 5 years of financial service experience with strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices What youu2019ll get: Comprehensive Compensation and Benefits package Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships Not just a job, but a career, with an opportunity to do the best work of your life  

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