TALENT SHIFT · 1 day ago
Internal Audit - Wealth Management
United States
Full-time
Remote
Senior Level
5+ years expTalent Shift, LLC is a marketplace that connects professionals with projects at dynamic companies. They are seeking experienced Internal Auditors to execute audits for the Wealth Management business of a regional banking client on a project basis.
Information Technology & Services
No H1B
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
Qualification
Required
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
Company
TALENT SHIFT
We are a talent marketplace that matches professionals with projects at dynamic companies across the globe.
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase