Director of Internal Audit

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The Director of Internal Audit will work with the Head of Risk Management to create the appropriate framework and strategy for Janney’s Internal Audit function.  Key areas of focus will be establishing clear and independent reporting lines for the Internal Audit function, including access to the Firm’s President and other members of the Executive Leadership Team as well as the audit committee of the board of directors; developing a formal audit committee charter; and a specific risk assessment template to provide a roadmap and rationale for future audit activities.  The individual selected for this role will play an important role in ensuring that Janney has the internal controls in place to support the Firm’s growth strategy while providing an independent perspective on business operations.   

What you are good at:

• Project Management: Handle ongoing development of systems while effectively coordinating with internal and external stakeholders. 
• Effective Decision Making: Ability to identify gaps and opportunities to make timely decisions and to take action reflective of business objectives. 
• Building Relationships: Connecting with others in a way that fosters trust and creates collaborative relationships.  
• Initiative: Proactively identify opportunities to enhance Janney’s audit function.

Responsibilities:

• Partner with Head of Risk Management to establish the Internal Audit function. 
• Establish and maintain an internal audit schedule, verifying that all areas of the firm company are receiving regular examinations as needed, are adhering to policies, and are in compliance with accounting, regulatory and other requirements.       
• Monitor the financial industry’s regulatory environment for new risks and recommend adjustments to audit schedule as appropriate.
• Prepare written reports describing audit observations, recommendations for process or control improvement, and management action plans.
• Maintain databases and audit schedules sufficient to support management reporting needs.  
• Present audit results to Senior Management and Audit Committee regularly.
• Either independently or in partnership with Grant Thornton, complete various regulatory and risk-based audits. The scope of this activity is still being determined.
• Manage a team as the function grows.

What you have:

• Bachelor’s degree in accounting or finance; CPA, CIA (IAA Certification), or CISA (ISACA certification) strongly preferred.

• Minimum of 7-10 years progressive audit experience in a public accounting firm working in the financial services sector, or in an internal function in the brokerage, investment or financial industry.  IT audit exposure is a plus.
• Experience managing a team.

• Experience performing risk assessments, procedure and control analysis, and procedure improvement recommendations/implementation.

     Demonstrated ability to work under tight deadlines in a dynamic, fast-paced environment.

           Strong analytical and problem-solving skills.

• Knowledge of financial services industry landscape and the evolving dynamics of this sector.

• Solid understanding of appropriate financial controls, and ability to enhance internal procedures.
• Knowledge of and comfort with technology as both a business driver and a communications tool.

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.  Explore further.

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. Fostering a positive workplace experience remains a top priority. We have earned the Great Place to Work® certification, which recognizes employers that create an outstanding employee experience. Based entirely on what current employees say about their experience working at Janney, this prestigious recognition underscores our commitment to our people and culture.  People are our strongest asset. We recognize that when our team members thrive, our firm is more successful.

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.