Internal Auditor

Internal Audit Opportunity in Financial Services

Internal Auditor

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista:12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work on this schedule.

Role Type: Full-Time

Salary: $78,000 - $88,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: .

Summary:

The Internal Auditor collaborates with the Internal Audit team and business stakeholders to plan and execute operational and regulatory audits ranging from basic to complex. Key responsibilities include identifying control gaps, assessing associated risks and impacts, and recommending cost-effective solutions. The role also involves preparing comprehensive audit reports summarizing findings and recommendations, as well as monitoring the progress of remediation efforts. Additionally, the Internal Auditor may be assigned various ad hoc projects and tasks, as needed.

Education Requirements:

• Bachelor’s degree in accounting, finance, risk management, business administration, or related field

Responsibilities:

• Conduct internal audits assessing the design and operating effectiveness of internal controls (30%)
• Prioritize and schedule testing to be performed, and interact with auditees to obtain the necessary information (25%)
• Track remediation of the Management Action Plans developed to address audit findings (15%)
• Prepare and present findings, as needed (10%)
• Communicate audit results and recommendations both orally and in writing to management (10%)
• Contribute to the identification and implementation of department operational efficiencies and changes in auditing operations (5%)
• Schedule and conduct presentations with auditees and management, as needed (5%)

Basic Requirements:

• 2 to 4 years of previous work experience.
• Active Listening: Demonstrates the ability to listen attentively, understand others’ perspectives, ask clarifying questions when appropriate, and avoid interrupting during discussions.
• Adaptability: Maintains openness to change, whether positive or negative, and adjusts effectively to a diverse and evolving work environment.
• Analytical Reasoning: Applies logical thinking to evaluate the strengths and weaknesses of various solutions, conclusions, or approaches to complex problems.
• Communication Skills: Communicates information clearly and effectively, both verbally and in writing, tailoring messages to meet the needs of different audiences.
• Decision-Making: Assesses potential risks and benefits of actions and selects the most appropriate course based on sound judgment.
• Creativity: Generates innovative ideas and develops creative solutions to challenges or opportunities within the organization.
• Relationship Building: Builds and maintains constructive, cooperative working relationships over time; demonstrates a pleasant, professional, and collaborative attitude.
• Time Management & Multitasking: Effectively manages personal and team schedules, prioritizes tasks, and transitions smoothly between multiple activities or sources of information.
• Technical Proficiency: Possesses solid knowledge of Microsoft Office applications and leverages cross-functional features to improve organizational efficiency.

Preferred Requirements:

• Series 7, 24, and 63/65 or 66 preferred; or willing to obtain
• IIA or Audit Certification preferred (CIA, CFSA, CCSA, CRMA or CPA)
• Knowledge of FINRA and SEC rules and regulations
• Knowledge of BSA/AML rules and regulations is a plus

• 2+ years of experience in the financial services industry, internal audit, or risk/compliance testing

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.