Internal Auditor

Advisor Group•Scottsdale, AZ

12d•$78,000 - $88,000•Hybrid

About The Position

The Internal Auditor collaborates with the Internal Audit team and business stakeholders to plan and execute operational and regulatory audits ranging from basic to complex. Key responsibilities include identifying control gaps, assessing associated risks and impacts, and recommending cost-effective solutions. The role also involves preparing comprehensive audit reports summarizing findings and recommendations, as well as monitoring the progress of remediation efforts. Additionally, the Internal Auditor may be assigned various ad hoc projects and tasks, as needed.

Requirements

2 to 4 years of previous work experience.
Active Listening: Demonstrates the ability to listen attentively, understand others’ perspectives, ask clarifying questions when appropriate, and avoid interrupting during discussions.
Adaptability: Maintains openness to change, whether positive or negative, and adjusts effectively to a diverse and evolving work environment.
Analytical Reasoning: Applies logical thinking to evaluate the strengths and weaknesses of various solutions, conclusions, or approaches to complex problems.
Communication Skills: Communicates information clearly and effectively, both verbally and in writing, tailoring messages to meet the needs of different audiences.
Decision-Making: Assesses potential risks and benefits of actions and selects the most appropriate course based on sound judgment.
Creativity: Generates innovative ideas and develops creative solutions to challenges or opportunities within the organization.
Relationship Building: Builds and maintains constructive, cooperative working relationships over time; demonstrates a pleasant, professional, and collaborative attitude.
Time Management & Multitasking: Effectively manages personal and team schedules, prioritizes tasks, and transitions smoothly between multiple activities or sources of information.
Technical Proficiency: Possesses solid knowledge of Microsoft Office applications and leverages cross-functional features to improve organizational efficiency.
Bachelor’s degree in accounting, finance, risk management, business administration, or related field

Nice To Haves

Series 7, 24, and 63/65 or 66 preferred; or willing to obtain IIA or Audit Certification preferred (CIA, CFSA, CCSA, CRMA or CPA)
Knowledge of FINRA and SEC rules and regulations
Knowledge of BSA/AML rules and regulations is a plus
2+ years of experience in the financial services industry, internal audit, or risk/compliance testing

Responsibilities

Conduct internal audits assessing the design and operating effectiveness of internal controls (30%)
Prioritize and schedule testing to be performed, and interact with auditees to obtain the necessary information (25%)
Track remediation of the Management Action Plans developed to address audit findings (15%)
Prepare and present findings, as needed (10%)
Communicate audit results and recommendations both orally and in writing to management (10%)
Contribute to the identification and implementation of department operational efficiencies and changes in auditing operations (5%)
Schedule and conduct presentations with auditees and management, as needed (5%)