Senior Auditor- Broker Dealer​/Asset Management

Senior Auditor – Broker-Dealer/Asset Management

The Broker-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist) to provide independent and objective assessments of the firm’s operations and compliance. This role reports to a Director or Senior Manager and focuses on risk management, internal controls, and governance processes.

• Participate in the planning and execution of internal audit assignments, ensuring work is performed in accordance with IIA standards and IAD policies and procedures. Responsibilities include scheduling audit meetings, scoping discussions, drafting audit deliverables, designing and executing testing, and reviewing work papers.
• Identify audit observations based on testing results and draft observations for review by the Internal Audit Manager/Senior Manager and debrief with key partners.
• Conduct validation testing of audit issue action plans completed by the business.
• Participate in the annual Risk Assessment process, including scheduling meetings, scoring, and documenting risk ratings.
• Provide support, mentoring, and feedback to audit team members, and assist with onboarding and ongoing support to new team members.
• Complete firm‑wide and departmental administration and training requirements.
• Assist with special projects related to business operational improvement or internal team needs as needed.

• 3–5+ years of financial services–related audit experience with growing responsibility; internal audit experience in Broker‑Dealer/Asset Management or similar Big 4 accounting or regulatory roles preferred.
• Demonstrated experience performing internal audits within a complex operational and regulatory environment.
• Ability to work as part of a project team and cultivate strong working relationships with external co‑sourcing providers and internal business lines.
• CPA, CIA, or CISA strongly preferred; other relevant certifications will be considered.
• Understanding of risks and internal controls and the ability to evaluate adequacy and efficiency of controls.
• Stays current on industry and regulatory issues and standard methodologies for AML, imparting this knowledge to the team and auditees.
• Excellent analytical skills, including the ability to anticipate issues and design appropriate solutions.
• Strong verbal and written communication skills with a proven ability to articulate effectively and authoritatively.
• Bachelor’s degree required.

• 401(k) with company match and Employee Stock Purchase Plan.
• Paid time for vacation, volunteering, and a 28‑day sabbatical after every 5 years of service for eligible positions.
• Paid parental leave and family‑building benefits.
• Tuition reimbursement.
• Health, dental, and vision insurance.