We are seeking an experienced internal auditor or risk control review associate to help identify risk & test controls in place to manage the risk across a diverse organization. We are a fast paced growing company that values dynamic thinkers & innovative problem solvers. If you are up to an exciting challenge & ready to become a critical ally in our organization, we want you.
In this role, reporting to the General Counsel of the firm, you'll work with Senior Management to identify & assess risk areas within the organization, develop & execute test plans to verify adherence to control procedures & processes, & track corrective action required to address any identified gaps or weaknesses. Key areas of the organization that will be reviewed are the FINRA registered Broker Dealer, SEC registered Transfer Agent(s), Information Security Team, Anti-Money Laundering Team, & Financial Control Unit.