Internal Audit – Broker Dealer

Overview

• Lead internal audit processes focusing on broker/dealer operations and compliance.
• Collaborate with cross-functional teams to assess financial and IT systems.
• Provide critical insights to enhance operational efficiency and risk management.
• Engage in strategic decision-making to support organizational goals.
• Utilize extensive experience to independently manage audit assignments.
• Contribute to a hybrid work environment with on-site presence required.
• Ensure compliance with industry regulations and standards.
• Participate in a year-long assignment with potential extensions.

Key Responsibilities & Duties

• Conduct comprehensive audits of broker/dealer operations and processes.
• Analyze financial and IT systems to identify risks and opportunities.
• Prepare detailed audit reports with actionable recommendations.
• Collaborate with management to implement audit findings effectively.
• Maintain up-to-date knowledge of industry regulations and compliance standards.
• Utilize critical thinking to solve complex audit challenges.
• Ensure timely completion of audit projects within scope and budget.
• Support organizational risk management strategies through audit insights.

Job Requirements

• Bachelor of Arts (BA) in Business, Finance, or related field.
• Minimum of 8 years of experience in internal audit, preferably in broker/dealer operations.
• Preferred 20 years of experience for advanced expertise.
• Strong background in financial and IT systems analysis.
• Critical thinking skills and ability to work independently.
• Manager-level experience in audit processes and team collaboration.
• Hybrid work arrangement with 2-3 days in-office presence required.
• Commitment to a year-long assignment with potential extensions.