Managing Director, Internal Audit, Brokerage Greater Austin, TX Area + 2 more

The Company is seeking a Managing Director of Internal Audit to lead independent assurance across client and product distribution activities. The role oversees audit planning and execution, including risk-based scoping, control testing, issue validation, audit quality, timelines, budgets, and resources. Responsibilities also include maintaining the audit risk assessment and annual plan, monitoring business and regulatory developments, and identifying opportunities to improve audit effectiveness through analytics and emerging technologies. The Managing Director will advise senior stakeholders, support regulatory interactions, communicate findings and remediation plans, and lead the development of a high-performing audit team. Candidates should have at least 12 years of corporate internal audit experience in brokerage or wealth management, or relevant experience with a major consulting firm, ideally covering client acquisition, service, and support across retail and institutional segments. They should bring experience leading audit teams and broad portfolios in complex operational and regulatory environments, along with strong knowledge of governance, risk, internal controls, and regulatory expectations. Excellent analytical, communication, relationship-building, and influencing skills are required. A bachelor’s degree is required; an advanced degree and relevant professional or industry certifications are preferred.

Hiring Company

Charles Schwab