Auditor

Overview

This remote role assists Audit Managers and Senior Auditors in planning and executing audits across Retirement and Wealth Management businesses. The position supports effective internal controls to mitigate risk, helps ensure regulatory compliance, and contributes to operational excellence through audit testing, evaluation of compliance with established policies and procedures, and identification of process improvement opportunities. The role also participates in a variety of audit and advisory engagements.

Location

Remote; candidates must be located within commutable (~30 miles) proximity to our Windsor office and be available for periodic onsite meetings, collaboration, and business needs as required.

Responsibilities

• Assist in planning and executing audits within the Retirement and Wealth Management lines of business.
• Conduct audit planning activities and prepare or revise audit programs designed to achieve audit objectives.
• Perform audit procedures and prepare high-quality workpapers that accurately document testing performed, results obtained, and conclusions reached.
• Test key controls in accordance with established audit standards and protocols to assess operating effectiveness.
• Design and utilize data analytics to support audit testing and control evaluation activities.
• Exercise sound judgment in documenting audit results, analyzing findings, and drawing appropriate conclusions.
• Develop potential audit issues when exceptions are identified, including root cause analysis and practical recommendations to strengthen internal controls and operational efficiency.
• Collaborate with senior team members to communicate audit results and recommendations to management both verbally and in writing.
• Support special projects and assignments as directed by Internal Audit Management.
• May provide guidance to Associate Auditors on specific audits or projects, as appropriate.
• Demonstrate a commitment to continuous learning and professional development through enhancement of technical and auditing knowledge.
• Build and maintain effective working relationships across Internal Audit and business partners throughout the organization.
• Develop leadership, collaboration, and teamwork skills while contributing to departmental and organizational objectives.
• Support Internal Audit recruiting initiatives and talent development efforts.
• Identify and champion practical opportunities for process improvement and positive change.

Requirements

• Bachelor’s degree in Accounting, Finance, Business, or a related field.
• 2+ years of relevant experience in audit, assurance, or a related discipline.
• Basic knowledge of U.S. GAAP, internal controls, business processes, IT processes, and Institute of Internal Auditors (IIA) standards.
• Basic understanding of Accounting/Financial Risk, Market and Credit Risk, IT Risk, and Regulatory/Compliance Risk.
• Strong organizational, project management, analytical, problem-solving, communication, and interpersonal skills.
• Ability to work independently with limited direction while exercising appropriate judgment regarding when to seek guidance from management or senior team members.

Preferred Qualifications

• Experience within a public accounting, consulting, or internal audit environment.
• Financial services industry experience, particularly supporting broker-dealer, investment advisory, retirement, or wealth management operations.
• Experience utilizing data analytics tools such as Power BI or Tableau.
• Experience leveraging AI, GenAI, and agentic AI tools, including Microsoft Copilot, to enhance analysis, efficiency, and decision-making.

Compensation & Benefits

Compensation

• Annual base salary range: $86,900 - $108,620 USD
• Incentive opportunities (annual cash incentives, sales incentives, and/or long-term incentives) based on role and achievement of annual performance objectives.
• Actual compensation may vary based on geographic location, work experience, education, licensure requirements and/or skill level, and will be finalized at the time of offer.
• Salaries for part-time roles will be prorated based on the agreed upon number of hours to be regularly worked.

Benefits

• Health, dental, vision and life insurance plans
• 401(k) Savings plan with generous company matching contributions (up to 6%)
• Employer-paid cash balance retirement plan (4%)
• Tuition reimbursement up to $5,250/year
• Paid time off: 20 days paid time off, nine paid company holidays, and a flexible Diversity Celebration Day
• Paid volunteer time: 40 hours per calendar year

Equal Employment Opportunity & Reasonable Accommodations

• Equal opportunity employer.
• Reasonable accommodations are available for qualified individuals with disabilities, including during the application and interview process, to perform essential job functions, and/or to receive other benefits and privileges of employment.