Risk Advisory Manager (SOX) - Financial Services

DLA, LLC; New York (NY); Hybrid; USD 140,000 - 170,000; Full time

Benefits offered by this job

Flexible PTO

Birthday holiday

401(k) match

Hybrid work

Commuting reimbursement

Referral program

Professional development

Healthcare plans

Job summary

DLA, LLC in New York, NY seeks a Manager, Asset Management to lead high-impact GRC engagements for asset management clients, including mutual funds and alternatives. You will oversee planning, risk assessment, and delivery, while mentoring junior staff and maintaining stakeholder relationships.

Ideal candidates have 5+ years in internal audit or consulting with asset management exposure, strong GAAP/SOX knowledge, and excellent communication skills for executive interactions.

Qualifications

• Bachelor's degree in Accounting, Finance or related field; CPA preferred.
• 5+ years in internal audit or consulting with asset management exposure.
• Strong knowledge of GAAP, internal controls frameworks, and SOX.
• Proven ability to manage client relationships and deliver advisory services.
• Demonstrated experience supervising and mentoring junior staff.
• Excellent written and verbal communication, including executive presentations.
• Strong analytical and problem-solving skills for complex issues.

Responsibilities

• Lead meaningful, high-impact engagements for asset management clients.
• Oversee audit and advisory engagements with actionable recommendations.
• Build trusted client relationships with asset managers and stakeholders.
• Manage engagement budgets, staffing, utilization, and delivery timelines.
• Supervise and mentor junior team members with coaching and feedback.
• Coordinate engagement planning, scope development, and risk assessment.
• Review workpapers and client communications for accuracy and standards compliance.
• Identify cross-selling opportunities and contribute to growth.
• Apply expertise in SOX, GAAP, and asset management regulations.

Skills

Internal audit/consulting experience

Asset management knowledge

SOX compliance

Executive communication

Analytical/problem solving

Team supervision/mentoring

GAAP knowledge

Education

Bachelor's degree in Accounting or Finance

Job description

Overview

Looking for your next opportunity in Governance, Risk & Controls Consulting? At DLA, we help our clients tackle complex problems while making sure our people have the tools, flexibility, and support to thrive. Whether you're passionate about internal audit, risk management, or compliance, you'll find meaningful work here with a team that values technical excellence, collaboration, and a human-centered approach.

We're currently looking for a Manager, Asset Management to join our Governance, Risk & Controls (GRC) team in New York, NY. If you're ready to lead high-impact client engagements and grow your career in a people-first firm, we'd love to hear from you!

What You'll Do

• Lead meaningful, high-impact engagements that help asset management clients—including mutual funds and alternative investment firms—strengthen their controls and make better decisions.
• Lead audit and advisory engagements and deliver clear, actionable recommendations.
• Build and maintain trusted client relationships with asset managers, audit committees, and stakeholders.
• Manage engagement economics—budgets, staffing, utilization, and timely delivery.
• Supervise and mentor junior team members with coaching and feedback.
• Coordinate engagement planning, including scope development and risk assessment.
• Review workpapers, reports, and client communications for accuracy and compliance with professional standards.
• Identify opportunities for cross-selling and contribute to practice growth.
• Apply deep expertise in SOX, GAAP, and asset management regulations to address complex client issues.

What You'll Bring

• Bachelor's degree in Accounting, Finance, or a related field; CPA or equivalent certification preferred.
• 5+ years of internal audit or consulting experience, with significant exposure to asset management (alternatives and mutual funds) and SOX compliance.
• Prior professional services or public accounting experience strongly preferred.
• Strong knowledge of GAAP, internal controls frameworks, and asset management processes.
• Demonstrated success managing client relationships and delivering advisory services.
• Proven ability to supervise, mentor, and review junior professionals' work.
• Exceptional written and verbal communication skills, including executive-level presentations.
• Strong analytical and problem-solving skills with the ability to navigate complex issues.

Why Join DLA?

• Flexible PTO (plus your birthday is a holiday!)
• 401(k) with company match
• Hybrid work policy (typically 2 days per week in-office)
• Commuting expense reimbursement
• Employee referral & commission programs
• Ongoing professional development & training opportunities
• Comprehensive healthcare plans

Equal Opportunity

At DLA, we're committed to building a diverse, inclusive, and equitable workplace. We hire great people from all backgrounds—because it makes our company stronger. If you share our values and enthusiasm for GRC consulting, you'll find a home here. We are proud to be an equal opportunity employer and are committed to providing reasonable accommodations for qualified individuals with disabilities throughout the application process.