Responsibilities
- Conduct audits of firm’s programs including customer onboarding, customer due diligence, surveillance, sanction, training, etc.
- Plan and execute audit test steps
- Prepare audit report that document identified control deficiencies
- Communicate audit findings to the management and obtain remedial action plans
- Track remedial action plans to completion
- Keep abreast with various securities, commodities, banking regulations regarding AML / Financial Crimes
- Assist in ad-hoc projects or other audits of group entities
Requirements
- 3-5 years of experience (either at a consulting firm or through an internal audit program at a financial institution)
- Ability to identify gaps in controls at the macro level
- CPA certification is a plus
- Experience planning audit engagements (using a risk-based approach), including coordinating efforts with independent third parties and audits of other subject matter teams
- Excellent communication skills, including the ability to communicate opinions and identified issues in a clear and concise manner
- Capable of performing data analytical tasks
Company Benefits & Perks
- Competitive salary, annual performance-based bonus and stock grant
- Retirement plan 401(k) with a competitive company match
- Excellent health and wellness benefits, including medical, dental, and vision benefits. Company paid medical healthcare premium.
- Wellness screenings and assessments, health coaches and counseling services through an Employee Assistance Program (EAP)
- Paid time off and a generous parental leave policy
- Daily company lunch allowance provided, and a fully stocked kitchen with healthy options for breakfast and snack
- Corporate events, including team outings, dinners, volunteer activities and company sports teams
- Education reimbursement and learning opportunities
- Modern offices with multi-monitor setups
LI-AI1
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