Internal Auditor
Manhattan, NY · On-site
Internal Auditor New york,NY(Hybrid) Contract Wealth Management Internal Audit role focused on ... For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules ...
FINRA
60 Finra Internal Auditor Jobs Hiring Near You
Internal Auditor
Manhattan, NY · On-site
Internal Auditor New york,NY(Hybrid) Contract Wealth Management Internal Audit role focused on ... For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules ...
The Auditor participates in a team environment and is primarily responsible for the development ... Exposure to data analytics (e.g., Power BI, IDEA, etc.) FINRA Requirements FINRA licenses are not ...
The Auditor participates in a team environment and is primarily responsible for the development ... Exposure to data analytics (e.g., Power BI, IDEA, etc.) FINRA Requirements FINRA licenses are not ...
Senior Internal Auditor
Jersey City, NJ · On-site
$95K - $150K/yr
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services ... Requirements About the Role We're looking for a Senior Internal Auditor who brings a strong ...
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Senior Internal Auditor
Jersey City, NJ · On-site
$95K - $150K/yr
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services ... Requirements About the Role We're looking for a Senior Internal Auditor who brings a strong ...
Senior Internal Auditor
$95K - $150K/yr
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services ... Requirements About the Role We're looking for a Senior Internal Auditor who brings a strong ...
Senior Internal Auditor
$95K - $150K/yr
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services ... Requirements About the Role We're looking for a Senior Internal Auditor who brings a strong ...
Senior Internal Auditor
Jersey City, NJ · On-site
$95K - $150K/yr
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services ... Requirements About the Role We're looking for a Senior Internal Auditor who brings a strong ...
Senior Internal Auditor
Jersey City, NJ · On-site
$95K - $150K/yr
An SEC registered FINRA member dedicated to delivering top-tier clearing and execution services ... Requirements About the Role We're looking for a Senior Internal Auditor who brings a strong ...
IT Auditor
Chicago, IL · On-site
Lead engagements as assigned, monitoring either internal or co-sourced teams in the performance of ... Experience working with regulatory organizations, particularly the SEC, CFTC, FINRA, a plus.
IT Auditor
Chicago, IL · On-site
Lead engagements as assigned, monitoring either internal or co-sourced teams in the performance of ... Experience working with regulatory organizations, particularly the SEC, CFTC, FINRA, a plus.
Audit Manager
Owings Mills, MD · Hybrid
$99K - $130K/yr
Certified Internal Auditor or Certified Investments & Derivatives Auditor. FINRA Requirements FINRA licenses are not required and will not be supported for this role. Work Flexibility This role is ...
Audit Manager
Owings Mills, MD · Hybrid
$99K - $130K/yr
Certified Internal Auditor or Certified Investments & Derivatives Auditor. FINRA Requirements FINRA licenses are not required and will not be supported for this role. Work Flexibility This role is ...
Senior IT Auditor
Denver, CO · On-site +1
$96K - $127K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Denver, CO · On-site +1
$96K - $127K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Phoenix, AZ · On-site
$93K - $122K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Phoenix, AZ · On-site
$93K - $122K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Hillsboro, OR · On-site +1
$102K - $134K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Hillsboro, OR · On-site +1
$102K - $134K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Phoenix, AZ · On-site +1
$93K - $122K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Senior IT Auditor
Phoenix, AZ · On-site +1
$93K - $122K/yr
Previous bank internal auditing or external auditing experience considered preferred. * Knowledge of banking and financial services regulatory requirements, such as FDIC, FRB, CFPB, FINRA, etc ...
Internal Audit, FICC Auditor, Vice President, Salt Lake City
Salt Lake City, UT · On-site
$97K - $129K/yr
WHAT WE LOOK FOR Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, are ... Familiarity with applicable SEC, FINRA, CFTC and NFA, Federal Reserve or Global Banking rules
Internal Audit, FICC Auditor, Vice President, Salt Lake City
Salt Lake City, UT · On-site
$97K - $129K/yr
WHAT WE LOOK FOR Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, are ... Familiarity with applicable SEC, FINRA, CFTC and NFA, Federal Reserve or Global Banking rules
WHAT WE LOOK FOR Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, are ... Familiarity with applicable SEC, FINRA, CFTC and NFA, Federal Reserve or Global Banking rules
WHAT WE LOOK FOR Goldman Sachs Internal Auditors demonstrate strong risk and control mindsets, are ... Familiarity with applicable SEC, FINRA, CFTC and NFA, Federal Reserve or Global Banking rules
Senior Manager, Internal Audit (US)
Atlanta, GA · On-site +1
$86K - $118K/yr
In-depth knowledge of North American regulatory landscape (OCC, FinCEN, FINRA, State regulators ... Professional qualifications such as Certified Internal Auditor (CIA), Certified Public Accountant ...
Senior Manager, Internal Audit (US)
Atlanta, GA · On-site +1
$86K - $118K/yr
In-depth knowledge of North American regulatory landscape (OCC, FinCEN, FINRA, State regulators ... Professional qualifications such as Certified Internal Auditor (CIA), Certified Public Accountant ...
Senior Auditor - Wealth
Johnston, RI · On-site
$92K - $122K/yr
The Internal Audit team is comprised of skilled professionals with the mission of consistently ... Demonstrated understanding of broker-dealer and investment advisory regulations (i.e., SEC/FINRA ...
Senior Auditor - Wealth
Johnston, RI · On-site
$92K - $122K/yr
The Internal Audit team is comprised of skilled professionals with the mission of consistently ... Demonstrated understanding of broker-dealer and investment advisory regulations (i.e., SEC/FINRA ...
Certified Internal Auditor (CIA) designation or other risk‑management certifications preferred ... FINRA rules applicable to broker‑dealers, including supervision, margin, customer protection ...
Certified Internal Auditor (CIA) designation or other risk‑management certifications preferred ... FINRA rules applicable to broker‑dealers, including supervision, margin, customer protection ...
Certified Internal Auditor (CIA) designation or other risk-management certifications preferred. * 7 ... FINRA rules applicable to broker-dealers, including supervision, margin, customer protection ...
Certified Internal Auditor (CIA) designation or other risk-management certifications preferred. * 7 ... FINRA rules applicable to broker-dealers, including supervision, margin, customer protection ...
Vice President, Auditor, Markets and Wealth Services
Jersey City, NJ · On-site
$68K - $160K/yr
Certified Internal Auditor (CIA) designation or other risk‑management certifications preferred ... FINRA rules applicable to broker‑dealers, including supervision, margin, customer protection ...
Vice President, Auditor, Markets and Wealth Services
Jersey City, NJ · On-site
$68K - $160K/yr
Certified Internal Auditor (CIA) designation or other risk‑management certifications preferred ... FINRA rules applicable to broker‑dealers, including supervision, margin, customer protection ...
Certified Internal Auditor (CIA) designation or other riskmanagement certifications preferred. * 7 ... FINRA rules applicable to brokerdealers, including supervision, margin, customer protection ...
Certified Internal Auditor (CIA) designation or other riskmanagement certifications preferred. * 7 ... FINRA rules applicable to brokerdealers, including supervision, margin, customer protection ...
Internal Audit Senior Specialist
$82K - $102K/yr
Wise is looking for a Senior Internal Audit Specialist to join our new and growing IA team in North ... Familiar with the North American regulatory landscape (OCC, CFPB, FinCEN, FINRA, State regulators ...
Internal Audit Senior Specialist
$82K - $102K/yr
Wise is looking for a Senior Internal Audit Specialist to join our new and growing IA team in North ... Familiar with the North American regulatory landscape (OCC, CFPB, FinCEN, FINRA, State regulators ...
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Job description
Internal Auditor
New york,NY(Hybrid)
Contract
Wealth Management Internal Audit role focused on Regulatory Reporting business requires a candidate to act as the "third line of defense," independently assessing the firm's internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation.
Core Responsibilities
Audit Lifecycle Management: Lead and execute audits across planning, scoping, testing operational design effectiveness, fieldwork, closure verification/validation and reporting phases within the Wealth Management business.
Regulatory Reporting Evaluation: Assess the adequacy and accuracy of various regulatory reports submitted to authorities. This includes performing walkthroughs to document process flowcharts and narratives.
TRACE, CATS Oversight: Validate the accuracy of Trade Reporting and Compliance Engine (TRACE), Consolidated Audit Trail (CAT). This involves:
Investigating and calling out anomalies via reporting
Coordinating the remediation of reported anomalies thru' documentation and revision of controls
Stockplan/Wealth Compliance: Audit operations for compliance with fiduciary standards (e.g., OCC Reg 9) and test controls over electronic communications as per FINRA/SEC rules.
Remediation & Validation: Follow up on open audit issues and perform validation testing on management's completed remediation plans.
Required Skills and Qualifications
Technical Knowledge: Deep understanding of investment vehicles, wealth management products, and financial regulations.
Audit Standards: Proficiency in internal auditing standards preferably for large banks in Wall Street or UBS, HSBC, etc..
Experience: typically 3-7 years in internal audit, internal controls assessment, or wealth management compliance.
Education & Certifications: Bachelor's degree in Accounting, Business, or Economics. Preferred certifications include:
Certified Internal Auditor (CIA) or CPA.
FINRA Series 65 or 66.
Certified Financial Planner (CFP).
New york,NY(Hybrid)
Contract
Wealth Management Internal Audit role focused on Regulatory Reporting business requires a candidate to act as the "third line of defense," independently assessing the firm's internal control structure. For Stockplan-specific operations, this involves evaluating compliance with SEC and FINRA rules, particularly regarding trade reporting and employee equity compensation.
Core Responsibilities
Audit Lifecycle Management: Lead and execute audits across planning, scoping, testing operational design effectiveness, fieldwork, closure verification/validation and reporting phases within the Wealth Management business.
Regulatory Reporting Evaluation: Assess the adequacy and accuracy of various regulatory reports submitted to authorities. This includes performing walkthroughs to document process flowcharts and narratives.
TRACE, CATS Oversight: Validate the accuracy of Trade Reporting and Compliance Engine (TRACE), Consolidated Audit Trail (CAT). This involves:
Investigating and calling out anomalies via reporting
Coordinating the remediation of reported anomalies thru' documentation and revision of controls
Stockplan/Wealth Compliance: Audit operations for compliance with fiduciary standards (e.g., OCC Reg 9) and test controls over electronic communications as per FINRA/SEC rules.
Remediation & Validation: Follow up on open audit issues and perform validation testing on management's completed remediation plans.
Required Skills and Qualifications
Technical Knowledge: Deep understanding of investment vehicles, wealth management products, and financial regulations.
Audit Standards: Proficiency in internal auditing standards preferably for large banks in Wall Street or UBS, HSBC, etc..
Experience: typically 3-7 years in internal audit, internal controls assessment, or wealth management compliance.
Education & Certifications: Bachelor's degree in Accounting, Business, or Economics. Preferred certifications include:
Certified Internal Auditor (CIA) or CPA.
FINRA Series 65 or 66.
Certified Financial Planner (CFP).