• Provides expertise, advice and counsel based on advanced dually-registered retail wealth management business and/or audit experience• Provides leadership for projects and team activities and applies knowledge of wealth management front office sales practices/products/processes to design and carry out risk-based audit activities• Proactively implements audit strategy for the sound application of risk based practices and mind-set by defining audit scope, audit program, and review and test procedures• Contributes to the development, implementation and communication of audit's missions, goals and strategies• Interacts with regulatory agencies, external consultants and other internal risk management groups