Job Information

TIAA Senior Manager, Internal Audit (Wealth Management/Retirement) in Charlotte, North Carolina

Internal Audit

The Internal Audit job is responsible for providing management and expertise for the Internal Audit Services department. This job plans and conducts complex internal audits under the general direction of the Audit Executive/Director and in compliance with audit standards, schedules and regulatory expectations. This job also works on problems of diverse scope involving assessment of risk, interpreting audit results and developing recommendations for remediation. The Internal Audit job manages a team of professional employees and serves as a subject matter expert regarding the evaluation of the adequacy of the company's internal control structure and effectiveness, effectively communicating complicated risk and control considerations to management, peers, external auditors, subordinates and others. Additionally, this job makes decisions on complex technical issues dealing with risk assessment, regulatory compliance and controls issues having moderate to high impact to the organization.

Key Responsibilities and Duties

  • Establishes the audit team and then provides guidance to subordinates and/or peers in the conduct of an audit and monitors progress and quality against stated audit objectives and department requirements.

  • Delivers audit results within the agreed upon annual audit plan and recommends remediation solutions where control weaknesses have been identified.

  • Establishes or recommends standards and long-term goals for the area managed, as well as methods to improve the operational efficiency of existing processes.

  • Develops and presents remediation solutions where control weaknesses have been identified, providing recommendations on risk and control strategies and works with business management to track and monitor resolution of audit issues.

  • Conducts reviews of audit reports completed by less experienced team members and approves or makes adjustments for final reporting.

  • Manages performance of internal audit team through regular, timely feedback as well as the formal performance review process to ensure delivery of exceptional services and engagement, motivation and development of team.

  • Works on problems of diverse scope using the organization's risk based internal auditing methodology.

  • Fosters an innovative and collaborative working environment to deliver effective and efficient audits leveraging data analytics and information technology specialists, as appropriate, to identify and implement advanced testing methods.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 5+ Years Required; 7+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work

Career Level


Additional Responsibilities and Duties:

  • Manages the audit team and engagement through the full lifecycle. Including performance appraisals, hiring, promotion, salary, termination etc., for direct reports and subordinate staff.

  • Develops strong written deliverables, including audit reports and audit committee summaries.

  • Conducts reviews of audit reports completed by less experienced team members and approves or makes adjustments for final reporting.

  • Manages multiple projects concurrently with full responsibility for overseeing direct reports and/or subordinate staff

  • Actively engages in and may lead firm level initiatives, with a focus on people related matters, such as Business Resource Groups (BRG), leadership training and mentoring programs.


Required Qualifications:

  • 5 years of experience in public accounting and/or diversified financial services, including experience in an internal audit management role.

Preferred Qualifications:

  • Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Chartered Accountant (CA)

  • Undergraduate degree in accounting, finance or other business related field.

  • MBA or graduate degree is preferred.

  • Experience in a regulated financial services environment, requiring direct interactions with regulators such as the Federal Reserve, OCC, SEC, FINRA, or state Insurance Departments.

  • Experience in evaluating retirement recordkeeping services and broker dealer activities.

  • Strong knowledge of the Institute of Internal Auditor's (IIA) International Professional Practices Framework (IPPF)

Base Pay Range: $116,500/yr. - $194,200/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).Â

Company Overview

TIAA is the leading provider of financial services in the academic, research, medical, cultural and government fields. We offer a wide range of financial solutions, including investing, banking, advice and education, and retirement services.

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary ( .

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

Read more about the Equal Opportunity Law here ( .

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.Â

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:Â

Phone: (800) 842-2755


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TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.