What you’ll do

📍As an Internal Audit Senior Associate, you will partner with IA leaders to identify areas of risk, document and test controls and make recommendations that support improvements to the control environment. In this role, you will: 📍Support the execution of audits in the areas of Compliance & Operations within our broker-dealers, registered investment advisor, and derivatives businesses in line with the Internal Audit plan 📍Conduct audit procedures incl. walkthroughs, testing of controls and substantive testing procedures 📍Help evaluate adequacy and efficiency of policies, procedures, systems and internal controls 📍Build collaborative relationships with business and cross-functional partners 📍Interact with business teams to understand processes and controls, tackle problems, and make recommendations for process improvements 📍Interact and collaborate with Internal Audit team members in working towards departmental goals.

What you bring

📍Bachelor’s degree in a relevant field of study 📍3+ years of experience in financial services industry 📍2+ years of experience working in compliance or operations space 📍Experience evaluating the design, effectiveness and regulatory requirements of processes and controls in the Compliance space within a bank, broker-dealer, registered investment advisor similar financial institutions 📍Strong focus on quality and attention to details 📍Strong communication skills 📍Strong self-starter with ability to work independently and take initiatives 📍Ability to thrive in fast-paced environments, work with ambiguity and adapt quickly to changes

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