Internal Audit Associate III

First Command Financial Services, Inc.•Fort Worth, TX

9d•Hybrid

About The Position

Reporting to the Director of Internal Audit, the Internal Audit Associate III is accountable for leading assigned fieldwork activities and completing testing and workpaper documentation related to internal audits across First Command. The Internal Audit Associate III works under the direction of the Audit Director or engagement leader and helps coordinate day-to-day fieldwork execution, including walkthroughs, testing, exception validation, document requests, follow-up, and timely communication of fieldwork status and preliminary results. This role works with employees and management at all levels, supports timely remediation of audit issues, and maintains objectivity, professionalism, and sound judgment while preserving a clear distinction between leading fieldwork activities and owning the full audit lifecycle.

Requirements

At least 4-7 years of internal audit, external audit, risk, compliance, or related control experience required
Experience executing fieldwork activities for assigned audit areas, including coordinating audit requests, validating exceptions, and preparing work papers in accordance with audit methodology
Broker Dealer (BD), Registered Investment Advisor (RIA), Banking, or SEC/FINRA/OCC regulated environment experience required
Demonstrated ability to lead fieldwork activities with limited day-to-day supervision while escalating risks, delays, and potential observations timely
Strong understanding of audit methodology, risk and control concepts, testing approaches, evidence evaluation, and work paper standards
Must be proactive and work with a sense of urgency
Must demonstrate strong work ethic and desire to get the job done
Self-motivated to provide high-quality work and meet deadlines
Must be able to form relationships without compromising objectivity of audit conclusions
Exceptional interpersonal skills, including written and oral communications, listening, and fostering open communications
Absolute commitment to timely delivery of quality service and work product
Must use sound judgment when handling confidential and/or sensitive information
High level of competency in computer skills including data analysis, analytical tools, and the Microsoft Office Suite
Ability to quickly learn new systems necessary for completing audits

Nice To Haves

Audit-related certification preferred, but not required (i.e., CFE, CIA, CPA, CISA)
FINRA licenses preferred, but not required (i.e., Series 99, 6, 7, 24 or SIE)

Responsibilities

Works with the Audit Director or engagement leader to support initial planning, research, and coordination necessary to execute assigned fieldwork and complete audit procedures
Leverages prior audit results, work papers, external research, data, and working knowledge of applicable regulations to support the execution of audit procedures and recommend adjustments when processes or regulatory requirements change
Leads or facilitates walkthroughs, interviews, status discussions, fieldwork meetings, and other audit-related discussions with business process owners and management, taking detailed notes to capture relevant process, risk, and control information necessary to develop and execute audit procedures.
Coordinates, leads, and performs fieldwork execution for assigned audit areas, including testing, follow-up, status tracking, and timely completion of assigned audit program steps
Identifies necessary system access, reports, and data sources needed to obtain complete and accurate populations for assigned audit testing
Assesses and analyzes large, complex data sets to evaluate population completeness and accuracy and support appropriate sample selection
Prepares, manages, and follows up on document requests to support accurate and timely completion by management and maintain fieldwork momentum
Identifies, analyzes, and validates potential exceptions, socializes initial results timely, and escalates unresolved matters to the Audit Director or engagement leader for disposition
Communicates fieldwork status, delays, risks, potential issues, and preliminary results during status meetings, close meetings, and other fieldwork discussions
Documents work papers thoroughly, clearly, and concisely to support conclusions and allow for efficient review by the Audit Director or engagement leader
Monitors and reviews the status of assigned audit procedures to ensure fieldwork tasks, priorities, and deadlines remain on track and issues are escalated timely
Assists with the administration, validation, documentation, and status reporting of management action plans from completed audits
Interfaces with all levels of the organization and builds professional relationships that support trust, transparency, and objectivity in the Internal Audit process