Risk & Controls Associate
Monitors risks, designs and tests internal controls, executes risk assessments and audits, and advises business teams on mitigation strategies. Requires 3+ years in audit/risk roles, bachelor's degree, and strong communication skills.
About the job
Principal Responsibilities
- Maintain the inventory of internal controls and assist control owners in their knowledge and understanding of the controls they own
- Support the design and documentation of controls and where appropriate framework, policy, and process documentation to support those controls
- Coordinate the annual risk assessment process and assist management in identifying and mitigating risks
- Assist with holistic risk quantification and mitigation efforts across business units
- Develop internal audit scope and audit plans
- Acquire, analyze, and evaluate documentation to execute audit plans
- Prepare and present reports that reflect audit results
- Maintain open communication with teams and leadership across the organization
- Manage the relationship with the external auditors
- Project manage the external audits across multiple regulatory regimes including the audit preparation process and communication between auditors and control owners
- Actively identify areas to improve operations and independently handle broad-scope projects
Qualifications
- Bachelor's degree in Business, Finance, Accounting, or related field, or equivalent experience
- 3+ years of work experience in an audit, advisory consulting, or risk management role
- Experience designing, testing, implementing internal controls and reviewing business processes
- Ability to interact with all levels, set objectives, and create results
- Ability to navigate through ambiguity
- Ability to manage and coordinate multiple project assignments simultaneously in a fast-paced environment
- Ability and willingness to take initiative to address problems and make continuous process improvements
- Excellent communication skills, with the ability to work with a wide variety of stakeholders
Preferred Qualifications
- CPA, CA, CIA, or related experience
- Knowledge of broker-dealer compliance requirements, including SEC Rule 17a-5
- Knowledge of NAIC Model Law on Suitability in Annuity Transactions
- Knowledge of the AICPA Trust Services Criteria for SOC 2 Examinations
Compensation
Base Salary Range: $88,300 - $115,900 plus bonus
Skills
Internal Controls, Risk Assessment, Internal Audit, SOC 2, Sec Rule 17A-5, Risk Management, Control Design, Audit Planning, Business Process Review, Compliance, CPA, Cia, External Audit
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