Internal Audit Manager

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 80,000 households from our over 140 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

We are seeking a highly skilled and forward-thinking Internal Audit Manager with deep expertise in financial services and brokerage operations. This role will lead and execute risk-based internal audits, with a strong emphasis on leveraging Artificial Intelligence (AI) and emerging technologies to enhance audit effectiveness and drive process improvements. The ideal candidate will serve as a strategic advisor to business units, helping to identify opportunities for automation, efficiency, and risk mitigation.  This role will work closely with senior leadership within Growth, Investments, Technology, Operations, Legal & Compliance and Finance functions.

This is a fully remote position.

In the spirit of pay transparency, we are excited to share the base salary range for this position is $135,000.00 to $150,000.00, exclusive of bonuses and benefits. This role is also eligible for our corporate bonus. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one.

Primary Job Functions

Lead risk-based internal audits

• Lead and manage risk-based internal audits across financial services and brokerage functions, ensuring compliance with regulatory requirements and internal policies

• Evaluate the design and effectiveness of internal controls, with a focus on AI-enabled processes, data analytics, and automation tools

• Collaborate with cross-functional teams to assess risks associated with the implementation and use of AI technologies, including model governance, data integrity, and ethical considerations

• Provide advisory support to business units on process optimization, control enhancements, and technology adoption

• Perform audits according to the plan.  Ensure audit test work, including documentation and reporting, are executed in accordance with professional standards

• Ensure that all audits and guidance are complete, accurate, timely, reliable and relevant

• Remain up-to-date on all internal audit standards and best practices

Assist in the development of the internal audit program

• Assist in the selection and development of internal audit staff members to ensure effective and efficient execution of audits

• Oversee completion of audit test work performed by third parties

• Support the development of the annual audit plan, incorporating feedback received from business leaders and knowledge of strategic priorities to inform risk assessments

• Foster a collaborative approach to risk mitigation by partnering with business leaders to proactively communicate audit plans and expectations prior to audit period, obtain buy-in on purpose and relevance of key controls being tested and develop remediation plans

Develop clear, concise audit reports

• Communicate audit findings and recommendations to responsible managers and ensure that appropriate action is taken

• Ensure audit results are corroborated and reviewed with key stakeholders prior to finalization

• Provide advice and counsel to management on complex risk management, control issues and development of other internal controls

• Establish process to track, follow-up, close and report on Management Action Plans that have been laid out to remediate gaps identified through audits

• Assist in evaluation, planning and implementation of internal audit tracking tools

Education/Qualifications

• Bachelor's degree required

• MBA/CMA/CPA preferred

• Internal auditing experience required

• 7+ years relevant experience is required.  Prior experience working for a broker-dealer, RIA firm or financial services organization in a publicly traded company is preferred

• Inter-personal and communication skills working with people at all levels

• Experience communicating sensitive information

• Experience coaching, developing and building a team of accounting professionals

WEG hires employees and makes decisions about their salary qualifications based on factors such as: the role to be performed; educational and professional experience, qualifications, skills and credentials; tenure, cost-of-living and demand for the role in the applicable market. To comply with state pay transparency laws, we must disclose the entire salary grade. The entire salary grade for those who are classified at the manager level is $104,800.00 to $157,200.00. However, the base salary range bolded above ($135,000.00 to $150,000.00) is what we expect to pay as a starting range for this position. ​

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Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may be eligible to participate in the following benefits & development opportunities:

• Training and professional development

• Medical, dental and vision coverage (Available to full-time employees and their families)

• Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses

• Life and AD&D insurance – employer paid and voluntary options

• Short-term and long-term disability, workers compensation – employer paid

• 401k with match and profit sharing

• Wellness programs and resources

• Voluntary benefits, including pet insurance

• 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)

• 12 paid holidays each year (10 pre-determined and 2 floating days)

• Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)

• Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.
Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.

Wealth Enhancement may use artificial intelligence (AI) tools to assist in the initial screening of resumes. All AI-supported evaluations are reviewed by our recruitment team to ensure accuracy and fairness. We are committed to equal opportunity in employment and do not discriminate based on race, color, religion, sex, national origin, age, disability, or any other protected status. Your personal information is handled in accordance with applicable data protection laws.