Internal Auditor

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).