1 день назад
Senior Auditor (Broker Dealer/Asset Management)
85 000 - 105 000$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Senior Auditor (Broker Dealer/Asset Management) (Financial Services): Executing internal audits and evaluating risks, controls, and governance across broker-dealer and asset-management operations with an accent on regulatory compliance, audit testing, and issue validation. Focus on designing audit procedures, identifying control deficiencies, assessing risk ratings, and coaching audit team members.
Location: Hybrid work in Westlake, TX; Austin, TX; Omaha, NE; or Lone Tree, CO
Salary: USD $85,000–$105,000 per year
Company
is a financial services company providing investment, brokerage, asset management, retirement, and related client services.
What you will do
- Plan and execute internal audit assignments in accordance with IIA standards and internal audit policies.
- Participate in audit scoping, meetings, testing, work-paper completion and review, and drafting audit deliverables.
- Identify audit observations and discuss findings with business partners and management.
- Perform validation testing of completed issue action plans.
- Support annual risk assessments, including risk scoring and documentation.
- Coach audit team members and assist with onboarding, training, administration, and special projects.
Requirements
- 3–5+ years of financial-services-related audit experience with increasing responsibility.
- Experience performing internal audits in complex operational and regulatory environments.
- Understanding of risks and internal controls, including the ability to assess control adequacy and efficiency.
- Knowledge of industry and regulatory issues and standard AML methodologies.
- Strong analytical, written, verbal communication, teamwork, and relationship-building skills.
- Bachelor’s degree required; CPA, CIA, or CISA strongly preferred.
Culture & Benefits
- Hybrid work and flexibility with regular in-person collaboration.
- 401(k) with company match and employee stock purchase plan.
- Paid vacation, volunteering time, parental leave, and family-building benefits.
- 28-day sabbatical after every five years of service for eligible positions.
- Health, dental, vision insurance, and tuition reimbursement.
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