Associate, Internal Audit - Compliance & Operations

The Associate, Internal Audit – Compliance & Operations supports the evaluation of internal controls and risk management practices across compliance and operational functions within a complex, regulated environment. This role focuses on executing risk-based audits, assessing regulatory adherence, and identifying opportunities to strengthen control frameworks and operational efficiency. Key Responsibilities Conduct audits of compliance programs and operational processes, evaluating control design and effectiveness Assess areas such as compliance monitoring, trade surveillance, AML/BSA, licensing, and conduct risk Review operational processes (e.g., onboarding, transaction processing, settlement) for control adequacy and efficiency Support the development and execution of the annual audit plan based on risk assessments Identify control gaps, inefficiencies, and emerging risks; develop clear, actionable recommendations Prepare audit documentation and reports detailing findings and risk exposure Collaborate with internal audit teams and stakeholders to ensure a comprehensive risk-based approach Maintain strong working relationships with business, compliance, and control functions Assist with regulatory reviews, special projects, and SOX-related activities as needed Leverage data analytics to enhance audit testing and identify risk trends Qualifications Bachelor’s degree in Accounting, Finance, Business, or related field 3+ years of experience in internal audit, compliance, or operational risk within a regulated environment Knowledge of financial services regulations (e.g., AML/BSA, SEC, FINRA, or similar frameworks) Familiarity with operational processes and control environments Professional certifications (e.g., CIA, CAMS, CFE, CPA) preferred Strong analytical and problem‑solving capabilities Excellent written and verbal communication skills Ability to manage multiple priorities and meet deadlines Detail‑oriented with strong organizational skills Collaborative mindset with the ability to work independently What You’ll Bring A proactive, results‑driven approach to audit execution, with the ability to assess risk, communicate insights clearly, and contribute to a strong control and compliance environment. #J-18808-Ljbffr Confidential