Internal Audit Senior Associate, Operations & Compliance
Executes end-to-end operational and compliance audits across financial-services operations, evaluating controls, identifying gaps, reporting findings, and validating remediation. Requires at least five years of relevant audit, compliance, or risk experience, plus familiarity with regulatory frameworks and internal controls.
About the job
Responsibilities
- Execute end-to-end operational and compliance audits, including scoping, preliminary risk assessments, control walkthroughs, fieldwork testing of design and operating effectiveness, and reporting.
- Own audit request tracking, open-item management, and testing status while providing proactive updates to Internal Audit leadership and cross-functional stakeholders.
- Identify control gaps through root-cause analysis, evaluate exception severity, and draft risk-based recommendations.
- Draft concise, actionable audit result summaries and issue write-ups for senior leadership and regulators.
- Validate remediation of prior audit findings by assessing implementation evidence and confirming sufficiency for closure.
- Partner with Operations, Compliance, Risk, Finance, and Legal teams while maintaining third-line independence and objectivity.
Requirements
- 5+ years of experience in internal audit, external audit, compliance testing, or risk management within financial services, fintech, payments, brokerage, or custody.
- Ability to independently execute audits end-to-end with regulator-ready documentation.
- Working knowledge of financial-services regulatory compliance frameworks, including AML/CFT, sanctions, and consumer protection requirements.
- Experience managing multiple concurrent audit workstreams, priorities, and deadlines, including coordination with co-sourced resources.
- Familiarity with data analytics techniques and technology tools that improve audit efficiency; SQL preferred.
- Responsible use of generative AI with human oversight.
- Strong understanding of internal control environments and financial-services regulatory compliance.
- Experience in a regulated financial institution preferred.
- Relevant professional certification, such as CIA, CPA, CFE, or Series 7, or progress toward one.
Compensation and Benefits
- Annual base salary range, excluding equity and bonus: $121,410–$127,800 USD.
- Total compensation may include equity and bonus eligibility.
- Benefits include medical, dental, vision, and 401(k).
Skills
Internal Audit, Compliance Auditing, Risk Management, Aml/Cft, Sanctions Compliance, Consumer Protection, Internal Controls, SQL, Data Analytics, Generative AI, Root Cause Analysis, Remediation Validation, Cia, CPA, Cfe
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