Senior Internal Audit Associate, Operations – Compliance

This is a fully remote position, open to applicants in United States.

📋 Description

• Conduct comprehensive operational and compliance audits from start to finish, which includes defining scope, undertaking preliminary risk assessments, executing control walkthroughs, performing fieldwork testing, and preparing reports.

• Manage the tracking of audit requests, oversee the management of open items, and monitor testing status.

• Provide proactive and clear updates to the Internal Audit leadership as well as cross-functional stakeholders.

• Detect control deficiencies through root cause analysis and evaluation of exception severity.

• Formulate risk-based recommendations aimed at fostering measurable enhancements.

• Spearhead audit reporting by composing summary results and issue narratives for senior leadership and regulatory bodies.

• Confirm the remediation of previous audit findings by evaluating implementation evidence and verifying adequacy for closure.

• Collaborate with Operations, Compliance, Risk, Finance, and Legal teams while upholding third-line independence and objectivity.

⛳️ Requirements

• Over 5 years of experience in internal audit, external audit, compliance testing, or risk management within the financial services sector, including fintech, payments, brokerage, or custody.

• Capability to independently carry out audits from initiation to completion with documentation that meets regulatory standards.

• Knowledge of AML/CFT, sanctions, and consumer protection compliance frameworks.

• Expertise in managing multiple simultaneous audit workstreams, priorities, deadlines, and co-sourced resources.

• Familiarity with data analytics techniques; SQL knowledge is preferred.

• Responsible application of generative AI with appropriate human oversight.

• Strong comprehension of internal control environments and regulatory compliance within the financial services industry.

• Experience at a regulated financial institution is preferred.

• Relevant professional certifications such as CIA, CPA, CFE, or Series 7, or progress toward obtaining one.

🏝️ Benefits

• Eligibility for equity and bonuses.

• Medical insurance coverage.

• Dental insurance coverage.

• Vision insurance coverage.

• 401(k) retirement plan.

• Quarterly in-person working sessions (“surges”).

• Reasonable accommodations provided for individuals with disabilities.