Internal Audit Senior Associate, Operations & Compliance

Overview

This role is part of the Internal Audit team within Finance. You will execute risk-based operational and compliance audits end-to-end, including planning, fieldwork, reporting, and remediation validation. Internal Audit is an independent, third-line function reporting directly to the Audit Committee, supporting the control environment by evaluating governance, compliance, and risk management processes across global operations.

The organization is remote-first (remote-first, not remote-only). In-person working sessions occur quarterly.

Responsibilities

• Execute end-to-end operational and compliance audits, including scoping, preliminary risk assessments, control walkthroughs, fieldwork testing (design and operating effectiveness), and reporting
• Own audit request tracking, open item management, and testing status, providing proactive and transparent updates to Internal Audit leadership and cross-functional stakeholders
• Identify control gaps through root cause analysis, evaluate exception severity, and draft risk-based recommendations that drive measurable improvement
• Lead audit reporting by drafting result summaries and issue write-ups that are direct, concise, and actionable for senior leadership and regulators
• Validate remediation of prior audit findings by assessing implementation evidence and confirming sufficiency for closure
• Partner with Operations, Compliance, Risk, Finance, and Legal while maintaining third-line independence and objectivity

Requirements

• 5+ years of experience in internal audit, external audit, compliance testing, or risk management within financial services, fintech, payments, brokerage, or custody
• Proven ability to independently execute audits end-to-end (planning, testing, reporting) with regulator-ready documentation quality
• Working knowledge of regulatory compliance frameworks applicable to financial services operations, including AML/CFT, sanctions, and consumer protection requirements
• Demonstrated proficiency managing multiple concurrent audit workstreams, priorities, and deadlines, including coordination with co-sourced resources
• Familiarity with data analytics techniques (SQL preferred) and experience leveraging technology tools to enhance audit efficiency
• Use generative AI responsibly with human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality
• Strong understanding of internal control environments and working knowledge of regulatory compliance within financial services
• Experience in a regulated financial institution preferred
• Relevant professional certification (e.g., CIA, CPA, CFE, Series 7 etc.) or progress toward one

Compensation & Benefits

• Annual base salary range (excluding equity and bonus): $108,630 USD - $127,800 USD
• Total compensation may also include equity and bonus eligibility, along with benefits including medical, dental, vision, and 401(k)

Additional Information

• Application limit: Candidates may submit a maximum of 3 applications within a 6-month period
• Equal opportunity employer: All qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or genetic information. Applicants with criminal histories will be considered consistent with applicable federal, state, and local laws.
• Accommodations: If you need a reasonable accommodation due to a disability, submit your request
• US applicants: Employee Rights, Know Your Rights, and E-Verify participation notice apply
• Data privacy & arbitration: By submitting an application, candidates agree to the Candidate Privacy Notice; US applicants also agree to arbitration of disputes