Ascend Group

Senior Compliance Internal Auditor

Ascend Group

full-time

Posted on:

Location Type: Remote

Location: Washington • United States

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Salary

💰 $85,000 - $125,000 per year

Job Level

Senior

About the role

  • Serve as a subject matter expert for financial institution regulatory compliance regulations with an understanding of compliance operations.
  • Build new and existing client relationships and participate in networking and business development activities.
  • Manage multiple projects simultaneously.
  • Oversee the work of others on projects assigned and provide training.
  • Work closely with team members to follow-up on client requests and inquiries.
  • Assist in the preparation of Statements of Work for client projectsand monitor time allocated to projects to ensure projects stay on time and within budget.
  • Plan, perform, and execute compliance reviews and audit engagements.
  • Identify business process risks and develop testing methodologies to evaluate the adequacy of controls.
  • Execute test of controls and audit procedures defined in audit programs.
  • Research technical issues that arise during fieldwork.
  • Document observations and recommendations regarding violations of laws and regulations, or best practices.
  • Draft reports for review, presentation, and discussion with clients.

Requirements

  • Bachelor’s degree with a major in accounting, finance, or related field preferred.
  • 5-10 years combination of audit and/or compliance experience within the financial industry.
  • Research proficiency driven by the principle of life-long learning.
  • Analytical, detail oriented - ability to multi-task without sacrificing people skills.
  • Excellent interpersonal, oral, and written communication skills, exhibiting empathy for others with positive conflict resolution skills.
  • Good at meeting deadlines and solving problems.
  • Ability to travel to client locations, which may include occasional overnight stays (limited with advance notice).
  • Ability to manage work-life balance while maintaining accountability and service.
  • Possess and maintain one or more relevant certifications pertaining to audit, risk management and compliance (such as CIA, CCUIA, CRCM, or CFE).
Benefits
  • Unlimited PTO
  • Medical, Dental, Vision, & Voluntary Insurance Options
  • 401(k) Matching
  • Annual Performance Bonus
  • 12 Paid Holidays
  • Flexible Scheduling Options
  • Innovative Workplan System
  • $500 annual Vacation Incentive
  • Commitment to Professional Development
  • Equity Program Eligibility at Sr. Manager Level + top performing Managers
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
auditcompliancefinancial regulationsrisk managementtesting methodologiescontrols evaluationproject managementdata analysisreport draftingstatement of work preparation
Soft Skills
interpersonal skillscommunication skillsanalytical skillsdetail orientedproblem solvingconflict resolutionmulti-taskingempathytime managementaccountability
Certifications
CIACCUIACRCMCFE