Internal Audit Manager
Posted on: 3 May 2021
Charlotte, NC
Job Description
What you’ll do day-to-day:
As an Internal Audit Manager, you will be responsible for partnering with internal stakeholders, specifically, the Robinhood Customer Experience (CX) team to identify areas of risk, perform audits and assessments, and make valuable recommendations on controls. The CX team at Robinhood is responsible for managing communications with customers; providing support and oversight of the agents, supervisors and vendors; recognizing and analyzing trends to identify and mitigate areas of compliance risk, and collaborating with stakeholders across the organization. Your day-to-day will involve:
Supporting the execution of the internal audit plan
Preparing audit documentation including, planning memo, audit scope, procedures, findings, including interpreting the significance of audit findings, and making practical recommendations for remediation
Evaluating controls in order to assist in identifying gaps and areas of improvement
Executing and reporting out on various types of audits (e.g. audits on customer experience interactions, call center operations, QA, vendor management, site audits, regulatory & compliance audits etc.), including post-remediation validation
Building collaborative and trusting relationships with business partners and cross-functional teams
Partnering with business teams to gather information, resolve problems, and make recommendations for business and process improvements
Developing and / or maintaining the audit framework, process and tools
Advocating for and implementing continuous improvement in our internal controls
Communicating with and educating process owners effectively on the importance of controls, an effective control environment, and the role of Internal Audit
Facilitating internal and external communications, including interacting with external auditors and regulators
About you:
Bachelor’s degree in a relevant field of study
6+ years of auditing experience
4+ years of financial services or high tech industry experience
Strong ability to successfully partner with and manage audits for Customer Experience, Operations, Product and Compliance teams
Experience in end-to-end audit cycle management and independently operate in a fast-paced, dynamic environment while managing multiple projects / initiatives
Experience managing customer-facing operations, customer support, call center operations, vendor management in a regulated industry etc.
Ability to deal with ambiguity in an experienced manner and creatively break down complex scenarios
Bonus points:
Master’s degree in a relevant field of study
SIE, Series 7, Series 24 and/ or Series 99 License or other relevant industry certifications
Big 4 consulting experience
CPA, CIA, CISM, CAMS certifications
Robinhood
Menlo Park, CA
Robinhood Markets, Inc. is an American financial services company headquartered in Menlo Park, California, known for offering commission-free trades of stocks and exchange-traded funds via a mobile app introduced in March 2015. Robinhood is a FINRA-regulated broker-dealer, registered with the U.S. Securities and Exchange Commission, and is a member of the Securities Investor Protection Corporation.The company's revenue comes from three main sources: interest earned on customers' cash balances, selling order information to high-frequency traders (a practice for which the SEC opened an investigation into the company in September 2020) and margin lending. As of 2020, Robinhood had 13 million users.
Robinhood is on a mission to democratize finance for all. We believe it should work for everyone and not just a few. We offer commission-free trading in one, user-friendly platform. Trading in stocks, ETFs and options is offered through Robinhood Financial LLC, member SIPC. Cryptocurrency trading is offered through Robinhood Crypto, LLC. Keep in mind other fees may still apply to your brokerage account. Please see Robinhood Financial’s Fee Schedule at rbnhd.co/fees to learn more. All investments involve risk, including the possible loss of principal. Past performance of a security, or financial product does not guarantee future results or returns. Robinhood Crypto is licensed to engage in virtual currency business activity by the New York State Department of Financial Services and is not a member of FINRA or SIPC. Cryptocurrencies are not stocks and your cryptocurrency investments are not products protected by either FDIC or SIPC. Robinhood Financial LLC and Robinhood Crypto, LLC are wholly-owned subsidiaries of Robinhood Markets, Inc.
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IndustryBanking/Financial Services
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No. of Employees1,281+
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Website
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Jobs Posted99
