Internal Audit

Internal Audit RoleInternal Audit works closely with various departments across the firm – operations, technology and finance – in an effort to maintain and support the ongoing integrity of the Company's control environment. The candidate will be involved in all phases of the Company's ongoing SOX compliance and Internal Audit functions from planning to reporting. They will be responsible to conduct periodic meetings/walkthroughs with process owners to ensure any changes to processes are documented and properly assessed for control gaps. The candidate will be a proactive individual that will help develop and enhance documentation and testing standards. They will be a key contact for process owners and the external auditors for any control related matters.The candidate:Has 3-6 years of public audit experience (Big 4 Preferred)Holds a Bachelor's degree in Accounting or Finance or equivalent work experiencePossesses CPA and/or CISA preferredHas knowledge and experience of internal control frameworks (e.g. COSO, 17a-5) and audit concepts within the broker-dealer/financial services industryIs able to work cooperatively and collaboratively with all levels of management, including employees across departments and organizational subsidiariesIs a highly motivated individual with ability to act and operate independently with minimal daily direction from manager to accomplish objectives including proper time management, deadline-oriented, and attention to detail within a team for a collective goalIs able to identify systems, business and process improvement opportunitiesIs able to coordinate with external auditors extensively to reduce the burden on process owners with multiple requestsIs able to identify gaps between implemented controls and key risks and recommend remediation actionsIs able to analyze any changes to internal business processes and/or accounting standards to assess the potential risks and impacts to controls in placeHas strong documentation skills, ability to complete process narratives and flowcharts of financial and IT process controlsPossesses strong interpersonal skills (oral and written), as candidate must be able to work and communicate with individuals at all levels across the organizationStays current to changes in regulatory guidance, industry best practices and areas of focus/hot topics for external audits.Is proficient in Microsoft Office applications