Auditor Manager - International Wealth Management

Internal Auditor Manager The Internal Auditor Manager for the Entity BBVA GWA, Inc., a Registered Investment Adviser (RIA), provides independent and objective assurance and advisory services to strengthen the effectiveness of risk management, compliance, and governance frameworks with respect to the international wealth management business of the Entity across the United States. This role focuses on the international wealth management business and assesses adherence to: U.S. regulatory requirements (among others SEC, FinCEN and local regulators...) Applicable global regulatory frameworks, Internal policies, standards, and governance requirements of the BBVA Group. Cross border compliance (US - LATAM) The position plays a key role in promoting a strong culture of compliance, fiduciary responsibility, and ethical conduct, while acting as a trusted advisor to senior management. Primary duties and responsibilities include: Planning, leading, and executing risk-based internal audits of the RIA's core advisory and wealth management processes. Evaluating compliance with applicable U.S. regulatory requirements, including SEC regulations under the Investment Advisers Act of 1940, and other relevant regulatory or supervisory frameworks, as well as applicable global regulatory requirements where relevant. Preparing audit reports in line with internal standards, ensuring they clearly communicate objectives, scope, methodology, findings, root causes, risk ratings, and recommended actions. Identifying and communicating audit findings and recommendations clearly and constructively to senior management. Supporting regulatory examinations and inquiries by preparing documentation and responding to regulator requests. Contributing to develop and implement risk-based audit plans, ensuring alignment with organizational goals and regulatory requirements. Collaborating with other internal audit team members to promote effective risk management practices. Key competencies include among others, strong understanding of fiduciary duty and investor protection principles, ability to assess complex investment and operational processes, independent judgment with a collaborative, solutions-oriented mindset and high ethical standards and discretion in handling sensitive information. Qualifications: Education: Bachelor's degree required; preferred fields include Accounting, Finance, Business Administration or other related fields. Experience: Minimum of 8 years of experience in internal audit, external audit, compliance, or risk management within: broker-dealers, asset or wealth management firms, financial services institutions or Registered Investment Advisers. Strong knowledge of SEC regulations applicable to RIAs /broker dealers and fiduciary standards. Proven experience auditing: Investment advisory and portfolio management activities / Wealth management or fiduciary services. Excellent analytical, communication, and report-writing skills. Preferred professional certification: FINRA Series 65 or 66, ACAMS, CIA, CPA. Experience working in a global or multi-jurisdictional wealth management environment. Experience supporting regulatory exams and remediation programs. Bilingual English / Spanish (preferred).