Internal Audit Associate
The successful candidate will have prior experience auditing SOX / ICFR (Internal Controls over Financial Reporting) and an understanding of the capital markets and brokerage industry.
This position is based in Manhattan with a hybrid schedule, reporting directly to the Head of Internal Audit in Canada.
Key Responsibilities:
Perform advisory and assurance audit services of an advanced or complex nature, requiring strong judgment and a systematic, disciplined approach.
Assist in improving the organization’s risk management, control, and governance processes.
Exhibit the highest level of professional objectivity in gathering, evaluating, and communicating information about the activities or processes being examined.
Thorough knowledge of SOX / ICFR; coordinate with external auditors to plan and scope SOX / ICFR work required, identifying opportunities to streamline processes and reduce duplication of efforts.
Plan and execute various audit engagements as assigned, adhering to auditing standards, including scheduling interviews with process owners, requesting control documentation, conducting fieldwork, and communicating audit results.
Standardize audit documentation to improve output consistency, facilitate internal and external reviews, and meet IIA standards.
Provide recommendations in reports that are well thought-out, practical, and formatted for delivery to Executive Management and the Board.
Perform peer reviews to ensure continuity, facilitate knowledge transfer, and coach team members in areas where the candidate is a subject matter expert.
Required Qualifications:
Professional accounting and/or audit designation preferred (CIA, CPA, CMA, CGA, or CA) with a minimum of 2–3 years of experience in an audit role.
Knowledge of SOX / ICFR (NI 52-109), IFRS, and COSO framework.
Proficiency in internal audit standards.
Proficiency in Microsoft Office.