Job Description

Internal Auditor


New york,NY(Hybrid)


Contract


Wealth Management Internal Audit role focused on Regulatory Reporting business requires a candidate to act as the "third line of defense," independently assessing the firm's internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation.

Core Responsibilities


Audit Lifecycle Management: Lead and execute audits across planning, scoping, testing operational design effectiveness, fieldwork, closure verification/validation and reporting phases within the Wealth Management business.
Regulatory Reporting Evaluation: Assess the adequacy and accuracy of various regulatory reports submitted to authorities. This includes performing walkthroughs to document process flowcharts and narratives.
TRACE, CATS Oversight: Validate the accuracy of Trade Reporting and Compliance Engine (TRACE), Consolidated Audit Trail (CAT). This involves:
Investigating and calling out anomalies via reporting
Coordinating the remediation of reported anomalies thru' documentation and revision of controls
Stockplan/Wealth Compliance: Audit operations for compliance with fiduciary standards (e.g., OCC Reg 9) and test controls over electronic communications as per FINRA/SEC rules.
Remediation & Validation: Follow up on open audit issues and perform validation testing on management's completed remediation plans.

Required Skills and Qualifications


Technical Knowledge: Deep understanding of investment vehicles, wealth management products, and financial regulations.
Audit Standards: Proficiency in internal auditing standards preferably for large banks in Wall Street or UBS, HSBC, etc..
Experience: typically 3-7 years in internal audit, internal controls assessment, or wealth management compliance.
Education & Certifications: Bachelor's degree in Accounting, Business, or Economics. Preferred certifications include:
Certified Internal Auditor (CIA) or CPA.
FINRA Series 65 or 66.
Certified Financial Planner (CFP).

Job Tags

Contract work

Similar Jobs