Remote Brokerage Internal Audit Manager

Location: Nationwide
Compensation: To Be Discussed
Staff Reviewed: Fri, Sep 16, 2022
This job expires in: 18 days

Job Summary

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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