Senior Audit Manager, Wealth Management

Swoon; Chicago (IL); On-site; USD 140,000 - 180,000; Full time

Job summary

Swoon in Chicago seeks a Senior Audit Manager for its Private Wealth Audit team. You will lead risk-based internal audits across the Private Wealth portfolio, engaging senior stakeholders and shaping audit scope, plans, and deliverables.

The role requires translating wealth management and fiduciary risk into actionable recommendations and mentoring audit staff. A strong background in large banks or RIAs, excellent executive communication, and project leadership are essential; professional

Qualifications

• Bachelor's degree in Accounting, Finance, or a related field.
• Experience within a large U.S. bank, wealth management firm, trust company, or RIA is required.
• Strong executive communication, relationship management, and project leadership skills.
• Licenses such as CFA, CFIRS, CPA, CIA, or relevant securities licenses are a plus.

Responsibilities

• Lead complex, risk-based internal audit engagements across the Private Wealth portfolio.
• Develop audit scope, risk assessments, project plans, resources, timelines, and deliverables.
• Assess emerging business and regulatory risks and translate them into effective audit coverage.
• Review audit findings and communicate recommendations to senior management.
• Build strong relationships with business leaders and provide practical risk and control guidance.
• Lead, coach, and mentor audit professionals while maintaining high-quality audit standards.

Skills

Audit leadership

Stakeholder management

Regulatory risk assessment

Project leadership

Mentoring

Education

Bachelor's degree in Accounting or Finance

Tools

Audit software

Job description

We're looking for an experienced Senior Audit Manager to join a Private Wealth Audit team supporting a leading financial services organization.

This is a great opportunity for a senior audit professional who understands the complexities of wealth management, investment advisory, trust/fiduciary activities, and personal banking and can provide strategic risk insight to senior stakeholders.

What you'll do:

• Lead complex, risk-based internal audit engagements across the Private Wealth portfolio
• Develop audit scope, risk assessments, project plans, resources, timelines, and deliverables
• Assess emerging business and regulatory risks and translate them into effective audit coverage
• Review audit findings and reports and communicate recommendations to senior management
• Build strong relationships with business leaders and provide practical risk and control guidance
• Lead, coach, and mentor audit professionals while maintaining high-quality audit standards

What we're looking for:

• Experience within a large U.S. bank, wealth management firm, trust company, or Registered Investment Advisor (RIA)
• Strong knowledge of investment, advisory, wealth management, trust, and fiduciary risks and controls
• Bachelor's degree in Accounting, Finance, or a related field
• Strong executive communication, relationship management, and project leadership skills
• CFA, CFIRS, CPA, CIA, or relevant securities licenses are a plus