Compliance Auditor- Contract (6-12 months

Job Description

An Investment Management is seeking an Internal Auditor for a 6-12months contract. HYBRID - 3 days onsite.

This person will support & collaborate with various business units to conduct internal audits, branch office reviews, and other responsibilities as needed. Internal audits performed include regulatory compliance audits of the firm's investment management and broker/dealer divisions that focus on compliance with the SEC’s Investment Advisor Rule and FINRA’s Supervision Rules, as well as other regulatory requirements.

• Support & Conduct risk-based audits of business units within the firm’s investment management, broker/dealer, and corporate services divisions under the direction of the Sr. Internal Auditor.
• Assist with Communicating audit results and recommendations to management that encourage corrective action to address any control weaknesses noted.
• Assist with routine follow-up on outstanding audit issues.
• Assist with reviewing various reports and dashboards to monitor developments within the business units.
• Assist external auditors and regulators.

• Audit experience within non-bank financial services companies.
• Experience with in the investment management and/or securities brokerage industries required.
• Bachelor’s degree in Accounting, Finance, or related field.

Investment Management