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Manager, Professional Practices – Audit

Job ID: 1713079
Category: Finance
Location: Denver, CO
Chicago, IL
Post Date: April 25, 2018

COMPANY OVERVIEW:

As long as there are people who make the world a better place, we’ll keep making a difference for them. Since 1918, it has been TIAA’s mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.

When you work here at TIAA, you’re not just in it for yourself. You are part of something bigger. A collective mission to make a difference – a collective mission we make our own.

To be difference makers.

For more information about TIAA, visit our website.

POSITION SUMMARY:

The role will be responsible for leading and performing internal assessments of the Internal Audit program. The internal assessments include:

  • Review of completed audit and advisory projects, closed audit issues and management action plans, risk assessment results, and continuous monitoring activities for conformance with the IAD’s Charter, the TIAA Internal Audit Methodology, the IIA Standards, and regulatory expectations.

  • Effective challenge of Audit Team risk identification, scope of work, and adequacy of testing approach.

  • Communicating and reporting of QAR results.
  • Review of other internal audit activities such as annual audit planning process, Division metrics, training records, etc. as necessary.

  • Periodic self-assessment of the internal audit activities and Quality Assurance Improvement Program relative to IIA Standards and regulatory expectations.

KEY RESPONSIBILITIES AND DUTIES:

  • Manages the planning and execution of quality initiatives and reviews across the Internal Audit function.

  • Coordinate the Division training program, including providing timely training on TIAA Internal Audit Methodology updates and areas for improvement identified through the QAR process

  • Assisting in the development of tactical plans relative to the implementation of the internal audit function’s overall goals and objectives.

  • Proactively monitoring for changes to industry and regulatory requirements, guidance, and pronouncements.

  • Develops tactical plans and leads the implementation of processes to ensure efficient organizational operations.

  • May assist with leading Internal Audit operations activities, such as the Annual Audit Risk Assessment, Annual Audit Plan, Audit Committee documentation, Scorecard and Dashboard reporting, metrics, regulator requests, department-wide training initiatives, and Management Action Plans.

  • Provides expertise and guidance in the International Professional Practices Framework of the Institute of Internal Auditors, Sarbanes-Oxley requirements, controls frameworks, large bank holding company operations audit standards, and FRBB, OCC and other regulatory agencies.

QUALIFICATIONS:

Required:
  • Undergraduate degree in accounting, finance or other business related field is required.

  • Minimum 7 years of experience in public accounting and/or diversified financial services, including experience in an internal audit management role or a related field is required.

  • Knowledge of the Institute of Internal Audit’s (IIA) International Professional Practices Framework, Sarbanes-Oxley requirements and controls frameworks; and large bank holding company operations audit standards is required.

  • Knowledge of financial services products, services and regulations; internal audit leading practices; risk management; and regulatory guidance and expectations (FRBB, OCC, SEC, State Insurance) is required.

Preferred:
  • A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is strongly preferred.

  • Graduate degree or MBA is preferred.
  • Experience in a regulated financial services environment, requiring direct interactions with regulators such as the Federal Reserve, OCC, SEC, FINRA, or state Insurance Departments, is preferred.

  • Prior working experience in Professional Practices or a similar function; and prior experience preparing and coordinating Board and Audit Committee meetings and reporting are strongly preferred.

  • Strong technical knowledge of TeamMate is also preferred.


Equal Employment Opportunity is not just the law, it’s our commitment. Read more about the Equal Employment Opportunity Law.


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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as ‘protected characteristics’).


*©2016 Teachers Insurance and Annuity Association of America (TIAA), 730 Third Avenue, New York, NY 10017


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