Internal Audit Senior Associate

📋 Description

• Support audits across broker-dealers, RIAs, and derivatives per plan.
• Evaluate adequacy and efficiency of policies, procedures, systems, and controls.
• Conduct walkthroughs and test controls and substantive procedures.
• Build relationships with business teams and cross-functional partners.
• Analyze processes to identify improvements and strengthen the control environment.
• Collaborate with IA team members on departmental initiatives and goals.

🎯 Requirements

• Bachelor’s degree in a relevant field.
• 3+ years audit experience in financial services.
• 2+ years in compliance or operations.
• Strong knowledge of regulatory requirements for broker-dealers/RIAs.
• Excellent attention to detail and communication.
• Proactive, self-motivated, able to work independently.

🎁 Benefits

• Challenging, high-impact work to grow your career.
• Performance-based compensation with bonuses, equity, and 401(k).
• Best-in-class benefits including 100% paid health insurance.
• Lifestyle wallet for wellness, learning, and more.
• Employer-paid life, disability, fertility, and mental health benefits.
• Time off: holidays, PTO, sick time, parental leave, and more.