Internal Audit - Wealth Management
About the position
We are looking for 3-4 experienced Internal Auditors for our Regional Banking client on a project basis. This role is fully-remote and will be executing audits for the Wealth Management business of the bank. This contract role has a duration of 7 months.
Responsibilities
• Perform audits of wealth management operations for compliance with OCC Reg 9 and fiduciary standards
• Review ERISA securities lending activities for adherence to DOL PTE 2006‑16 requirements
• Test controls over electronic communications for compliance with FINRA and SEC rules
• Evaluate consumer compliance programs and related internal controls for design and effectiveness
• Assess compliance risk management frameworks and recommend improvements based on regulatory requirements
Requirements
• Bachelor’s degree or higher in accounting, finance, or other related fields
• 5+ years of relevant Wealth Management Internal Audit experience
• Qualified applicants must reside in the continental U.S.
• Must be legally authorized to work in the United States now and in the future. Verification of employment eligibility will be required at the time of hire. Visa sponsorship is not available for this position.
Benefits
• group health plan benefits
• 401(K)
• profit-sharing contributions
• flexible time off
• parental leave
Apply Now
Apply Now
We are looking for 3-4 experienced Internal Auditors for our Regional Banking client on a project basis. This role is fully-remote and will be executing audits for the Wealth Management business of the bank. This contract role has a duration of 7 months.
Responsibilities
• Perform audits of wealth management operations for compliance with OCC Reg 9 and fiduciary standards
• Review ERISA securities lending activities for adherence to DOL PTE 2006‑16 requirements
• Test controls over electronic communications for compliance with FINRA and SEC rules
• Evaluate consumer compliance programs and related internal controls for design and effectiveness
• Assess compliance risk management frameworks and recommend improvements based on regulatory requirements
Requirements
• Bachelor’s degree or higher in accounting, finance, or other related fields
• 5+ years of relevant Wealth Management Internal Audit experience
• Qualified applicants must reside in the continental U.S.
• Must be legally authorized to work in the United States now and in the future. Verification of employment eligibility will be required at the time of hire. Visa sponsorship is not available for this position.
Benefits
• group health plan benefits
• 401(K)
• profit-sharing contributions
• flexible time off
• parental leave
Apply Now
Apply Now