Remote Brokerage Internal Audit Manager
A financial technology company providing stock and cryptocurrency trading solutions needs applicants for an opening for a Remote Brokerage Internal Audit Manager.
Core Responsibilities of this position include:
- Assisting Audit leadership in the execution of the audits in line with the Internal Audit Plan
- Advocating for and implementing continuous improvement of our internal controls
- Building collaborative and trusting relationships with business partners and cross-functional stakeholders
Must meet the following requirements for consideration:
- Bachelor’s degree in a relevant field of study
- 6+ years of experience in an internal audit role
- 4+ years of experience at a broker-dealer
- SIE certification, Series 7, Series 24 and/ or Series 99 License or other relevant industry certifications
- In-depth knowledge and understanding of FINRA, SEC and other applicable broker-dealer regulations
- Ability to build positive relationships and have strong communication skills
COMPLETE JOB DESCRIPTION
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