Job Description: As an Internal Audit Senior Associate - Compliance, you will partner with IA leaders to identify areas of risk, document and test controls and make valuable recommendations that support improvements to the control environment. Job Responsibilities: Help evaluate adequacy and efficiency of policies, procedures, systems and internal controls Interact with business teams to understand processes and controls, tackle problems, and make recommendations for process improvements Build collaborative relationships with business and cross-functional partners Support execution of audits in the areas of Compliance in line with the Internal Audit plan Conduct audit procedures incl. walkthroughs, testing of controls and substantive testing procedures Job Requirements: Understanding of FINRA and SEC regulations, BSA/AML, Sanctions, Money Services Business regulations, or Cryptocurrencies regulations Strong focus on quality and attention to details Experience evaluating the design, effectiveness and regulatory requirements of processes and controls in the Compliance space within a bank, broker-dealer, or similar financial institutions Strong communication skills Strong self-starter with ability to work independently and take initiatives Familiarity with the broker-dealer industry and related products Qualification & Experience: 2+ years of experience working in compliance space 3+ years of experience in financial services industry Bachelor’s degree in a relevant field of study Job Details: Company: Robinhood Vacancy Type: Full Time Job Location: Orlando, FL, US Application Deadline: N/A Apply Here vacanciesforyou.net
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