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Sr Internal Audit Mgr

Job ID: 1714101
Category: Executive
Location: Charlotte, NC
Post Date: June 25, 2018


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.


Responsible for providing management and expertise within TIAA’s Internal Audit division. Plans and conducts complex internal audits under the general direction of the Audit Executive/Director and in compliance with audit standards, schedules and regulatory expectations. Works on problems of diverse scope involving assessment of risk, interpreting audit results and developing recommendations for remediation. Serves as SME regarding the evaluation of the adequacy of the company’s internal control structure and effectiveness, effectively communicating complicated risk and control considerations to management, peers, external auditors, subordinates and others. Makes decisions on complex technical issues dealing with risk assessment, regulatory compliance and controls issues having moderate to high impact to the organization.


  • Participates in defining audit service standards for the organization.

  • Establishes the audit team and then provides guidance to subordinates and/or peers in the conduct of an audit; monitors progress and quality against stated audit objectives and Division requirements.

  • Participates in identification of possible policy and procedural changes within an area or operation. Participates in corporate development of methods, techniques and evaluation criteria for projects, programs and people.

  • Establishes or recommends standards and long-term goals for the area managed, as well as methods to improve the operational efficiency of existing processes.

  • Develops strong written deliverables, including audit reports and audit committee summaries. Works with business management to track and monitor resolution of audit issues, providing recommendations on risk and control strategies.

  • Works on problems of diverse scope using the organization’s risk based internal auditing methodology.

  • Manages the audit team and engagement through the full lifecycle.

  • Conducts reviews of audit reports completed by less experienced team members and approves or makes adjustments for final reporting.

  • Has accountability for delivering audit results within the agreed upon annual audit plan.

  • Demonstrates good judgment in evaluating the results of audits and in developing and presenting remediation solutions where control weaknesses have been identified.


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

  • Minimum 8+ years of experience in public accounting and/or diversified financial services, including experience in an internal audit management role or a related field.

  • MBA or graduate degree 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 also preferred.

  • Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is strongly preferred. In the event that the candidate does not maintain the CIA or CPA, the candidate will be required to complete one of these certifications within 18 months of joining the Internal Audit Division. Securities licenses may be carried by the broker-dealer if the auditor is involved in auditing broker dealer activities.

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We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

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