About the Company
The Internal Audit Associate will assist with a range of internal review activities designed to assess business practices, risk exposure, and adherence to established requirements.
About the Role
Responsibilities include analyzing key procedures, reviewing supporting documentation, evaluating the effectiveness of existing safeguards, and highlighting potential areas of concern. The individual will use sound judgment, critical thinking, and attention to detail to develop practical observations that support stronger processes and effective risk oversight.
Responsibilities
- Assist in executing audits across the full lifecycle, including planning, fieldwork, testing, and reporting
- Perform testing of internal controls to assess compliance with company policies, regulatory requirements, and frameworks such as the Model Audit Rule (MAR)
- Analyze transactional data, client activity, and operational processes to identify anomalies, risks, or control gaps
- Prepare clear and well-documented workpapers that support audit findings and conclusions
- Identify control weaknesses, compliance risks, and process improvement opportunities, and help develop practical recommendations
- Collaborate with business units to gather information, understand processes, and support a smooth audit process
- Support ongoing monitoring of regulatory changes and emerging risks, particularly within financial services and insurance
- Contribute to data-driven audit techniques and continuous improvement of audit methodologies
Qualifications
- Bachelor’s degree in Finance, Accounting, Business, or related field required
Required Skills
- 3+ years of experience in compliance, risk management, audit, or financial investigations
- Experience in financial services, trading surveillance, AML, or regulatory compliance strongly preferred
- Familiarity with investigating transactions, identifying suspicious activity, or reviewing regulatory reports is a plus
- Professional certification (e.g., ACAMS, CPA, CIA) or progress toward certification is a plus
- Strong analytical and critical thinking skills with attention to detail
- Ability to communicate findings clearly in writing and verbally to stakeholders
- Experience working with data, reporting tools, or process improvement initiatives is beneficial