Senior Associate – Internal Audit
RSM US LLP • New York, NY5d
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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
Benefits
- Competitive benefits and compensation package
- Flexibility in your schedule
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What This Job Offers
Career Level
Senior
Education Level
No Education Listed
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