Senior Associate – Internal Audit (Compliance Focus | Global Banks)

RSM US LLP•New York, NY

About The Position

We are the leading provider of professional services to the middle market globally, with a purpose to instill confidence in a world of change, empowering our clients and people to realize their full potential. RSM offers an environment that inspires and empowers individuals to thrive both personally and professionally. The Senior Associate – Internal Audit role is seeking resources to support compliance-focused audit activities within a large, global banking environment. This is an execution-oriented role, with a primary focus on compliance testing, control assessments, and audit fieldwork aligned to regulatory requirements and internal audit standards.

Requirements

Senior Associate–level experience in Internal Audit, with a strong compliance focus
Background in financial services or global banking/broker-dealer environments
Experience auditing compliance areas such as: Regulatory compliance, AML / Financial Crime, Conduct Risk, Operational Risk
Working knowledge of regulatory expectations and bodies (e.g., SEC, FINRA, OCC, Federal Reserve)
Proven experience with control testing, walkthroughs, evidence evaluation, and workpaper documentation
Strong written communication skills with ability to clearly document findings
Strong attention to detail and comfort working in highly regulated environments
Ability to manage multiple audit deliverables simultaneously
Professional presence and experience working with senior audit and compliance stakeholders

Nice To Haves

Internal Audit consulting or co‑sourced audit experience supporting large financial institutions
Exposure to regulatory exams, consent orders, or remediation programs
Familiarity with audit issue management and validation processes
CPA, CIA, CAMS, CFE, or similar certifications (preferred, not required)

Responsibilities

Execute internal audit fieldwork with a primary focus on compliance-related risks and controls
Perform control testing to evaluate design and operating effectiveness across compliance programs and regulated processes
Support audit planning, risk assessments, walkthroughs, sampling, and testing execution
Document workpapers and testing results in accordance with internal audit methodologies and IIA standards
Identify and clearly articulate control gaps, compliance deficiencies, and audit findings
Assist in drafting issue narratives, supporting evidence, and audit deliverables
Support follow-up validation and remediation testing for previously identified issues
Partner with Compliance, Risk Management, and Audit stakeholders throughout the audit lifecycle