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Description We are looking for an experienced Internal Audit Manager to lead and develop the internal audit function for a dynamic clearing broker-dealer organization. This strategic role involves building audit frameworks that ensure compliance with regulatory standards, operational efficiency, and effective risk management. The successful candidate will bring extensive knowledge of broker-dealer operations and regulations, along with the ability to design and execute audit programs from inception. This is a contract position based in Dallas, Texas.

Responsibilities:

• Develop and implement a comprehensive internal audit plan tailored to risk assessments and organizational needs.

• Create and refine audit policies, procedures, and testing methodologies in alignment with industry standards.

• Conduct audits to ensure compliance with FINRA regulations, including rules such as 15c3-1, 15c3-3, and 17a-5.

• Review financial and operational controls, including reserve computations, net capital calculations, and securities processing.

• Evaluate risks across business operations, ensuring robust controls and validating SOC 1/SOC 2 reports.

• Assess cybersecurity protocols, system access controls, and data privacy measures to mitigate technological risks.

• Execute audit plans with defined scopes, documenting findings and presenting results to senior leadership and the Board.

• Collaborate with external auditors and internal teams across compliance, operations, finance, and technology.

• Monitor remediation efforts to address audit findings and promote a strong control culture within the organization.

• Act as a key stakeholder in shaping the firm’s risk and compliance strategy while ensuring operational effectiveness. Requirements

• 10–15 years of experience in internal audit, compliance, or broker-dealer operations.

• Extensive knowledge of FINRA and SEC regulations, with hands-on familiarity in broker-dealer environments.

• Proficiency in auditing financial reporting controls and operational processes, including clearing and custody.

• Strong technical skills, including advanced proficiency in Excel and familiarity with auditing tools such as COBIT and Dynamics.

• Licensing requirements: Series 7 certification required; Series 27 certification A MUST.

• Audit certifications such as CPA or CIA are advantageous.

• Exceptional analytical, communication, and documentation skills, with the ability to work independently.

• Experience building and leading audit functions from the ground up in a regulated environment.

Robert Half is the world’s first and largest specialized talent solutions firm that connects highly qualified job seekers to opportunities at great companies. We offer contract, temporary and permanent placement solutions for finance and accounting, technology, marketing and creative, legal, and administrative and customer support roles.

Robert Half works to put you in the best position to succeed. We provide access to top jobs, competitive compensation and benefits, and free online training. Stay on top of every opportunity - whenever you choose - even on the go. Download the Robert Half app (https://www.roberthalf.com/us/en/mobile-app) and get 1-tap apply, notifications of AI-matched jobs, and much more.

All applicants applying for U.S. job openings must be legally authorized to work in the United States. Benefits are available to contract/temporary professionals, including medical, vision, dental, and life and disability insurance. Hired contract/temporary professionals are also eligible to enroll in our company 401(k) plan. Visit roberthalf.gobenefits.net for more information.

• 2025 Robert Half. An Equal Opportunity Employer. M/F/Disability/Veterans. By clicking “Apply Now,” you’re agreeing to Robert Half’s Terms of Use (https://www.roberthalf.com/us/en/terms) .