Internal Audit Senior Associate, Operations & Compliance

Location: Remote - USA

Department: Finance & Accounting

• Execute end-to-end operational and compliance audits, including scoping, preliminary risk assessments, control walkthroughs, fieldwork testing (design and operating effectiveness), and reporting
• Own audit request tracking, open item management, and testing status, delivering proactive and transparent updates to Internal Audit leadership and cross-functional stakeholders
• Identify control gaps by performing root cause analysis, evaluating exception severity, and drafting risk-based recommendations that drive measurable improvement
• Lead audit reporting by drafting result summaries and issue write-ups that are direct, concise, and actionable for senior leadership and regulators
• Validate remediation of prior audit findings by assessing implementation evidence and confirming sufficiency for closure
• Partner with Operations, Compliance, Risk, Finance, and Legal teams to build effective working relationships while maintaining third-line independence and objectivity

• 5+ years of experience in internal audit, external audit, compliance testing, or risk management within financial services, fintech, payments, brokerage, or custody
• Proven ability to independently execute audits end-to-end (planning, testing, reporting) with regulator-ready documentation quality
• Working knowledge of regulatory compliance frameworks applicable to financial services operations, including AML/CFT, sanctions, and consumer protection requirements
• Demonstrated proficiency managing multiple concurrent audit workstreams, priorities, and deadlines, including coordination with co-sourced resources
• Familiarity with data analytics techniques (SQL preferred) and experience leveraging technology tools to enhance audit efficiency
• Utilizes generative AI responsibly, maintaining human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality
• Strong understanding of internal control environments and working knowledge of regulatory compliance within financial services
• Experience in a regulated financial institution preferred
• Relevant Professional Certification (e.g., CIA, CPA, CFE, Series 7 etc.) or progress toward one