Recent Searches

You haven't searched anything yet.

5 Senior Auditor Jobs in Rockville, MD

SET JOB ALERT
Details...
FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC.
Rockville, MD | Full Time
$111k-142k (estimate)
3 Months Ago
Inotiv
Rockville, MD | Full Time
$84k-105k (estimate)
5 Days Ago
Amdex Corporation
Rockville, MD | Full Time
$78k-102k (estimate)
Just Posted
CareerBuilder
Rockville, MD | Full Time
$98k-118k (estimate)
6 Days Ago
Sparks Group
Rockville, MD | Contractor
$85k-102k (estimate)
0 Months Ago
Senior Auditor
$111k-142k (estimate)
Full Time | Professional Associations 3 Months Ago
Save

sadSorry! This job is no longer available. Please explore similar jobs listed on the left.

FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC. is Hiring a Senior Auditor Near Rockville, MD

Our Growth is Creating Great Opportunities! Our team is expanding, and we want to hire the most talented people we can. Continued success depends on it! Once you've had a chance to explore our current open positions, apply to the ones you feel suit you best and keep track of both your progress in the selection process, and new postings that might interest you! Thanks for your interest in working on our team! About FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission (SEC), while also benefiting from the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not influenced, by the industry that it regulates. FINRA’s independent regulation plays a critical role in America’s financial system–all at no cost to taxpayers. FINRA touches virtually every aspect of the securities business—from registering and educating industry participants to examining securities firms; writing rules; enforcing those rules and the federal securities laws; informing and educating the investing public; providing trade reporting and other industry utilities; and administering the largest dispute resolution forum for investors and registered firms. FINRA uses technology powerful enough to look across markets and detect potential abuses. Using a variety of data gathering techniques, we work to detect insider trading and any strategies firms or individuals use to gain an unfair advantage. In today's fast-paced and complex global economy, FINRA is a trusted advocate for investors, dedicated to keeping the markets fair and proactively addressing emerging regulatory issues before they harm investors or the markets. FINRA operates from Washington, DC, and New York, NY, with other offices around the country. Find out more about us and how we work—and view our current openings—at www.finra.org/careers. Conduct audits of business, regulatory, and technology processes of FINRA and its subsidiaries to provide senior management with an independent assessment of whether the internal controls provide reasonable assurance that business objectives are achieved; resources are used economically and efficiently; governing laws and regulations, as well as FINRA rules and policies, are complied with; financial and operating information is reliable and timely; and corporate assets are adequately safeguarded. Essential Job Functions: Conduct integrated audits of business processes. Perform fieldwork under supervision of the Auditor-in-charge (AIC). Assist in the planning, fieldwork, reporting, and follow-up phases of assigned audits in accordance with departmental (ref. Audit Manual) and professional standards (promulgated by the Institute of Internal Auditors). Coordinate with Information Technology (IT) audit team on integrated audit engagements.[60%] Perform Development Reviews (DRs) in accordance with departmental standards, by providing input on the business area’s risks and controls, along with identifying business needs that should be met by the system or program. [15%] Document and communicate audit results both orally and in writing in an objective, clear, concise, constructive, and timely manner. A minimal amount of editing of audit reports and workpaper review comments by the Auditor-in-charge and Director is expected at this level. [10%] Recommend process improvements, participate in meetings with senior management, public auditors, and external parties, and performing administrative tasks such as audit-related time reporting and continual updating of the FINRA Audit Management Information System (AMIS). [10%] Stay abreast of securities industry trends, audit profession developments, and best practices. [5%] Other Responsibilities: Perform special projects as assigned. [5%] Education/Experience Requirements: Bachelor’s Degree in Accounting, Finance, Business Administration or related field. Minimum of 5 years professional experience consisting of a combination of one or more of the following: analytical, investigative or compliance experience in the securities industry, internal audit, or public accounting. Good understanding of the FINRA, its subsidiaries, and the securities industry. Excellent teamwork and communication skills. Professional certification (such as CIA, CPA or CFA) and/or advanced degree is desirable. Work Conditions: Some travel required; estimated at less than 20% annually. #LI-Hybrid To be considered for this position, please submit an application. The information provided above has been designed to indicate the general nature and level of work of the position. It is not a comprehensive inventory of all duties, responsibilities and qualifications required. Please note: If the “Apply Now” button on a job board posting does not take you directly to the FINRA Careers site, enter www.finra.org/careers into your browser to reach our site directly. FINRA strives to make our career site accessible to all users. If you need a disability-related accommodation for completing the application process, please contact FINRA’s accommodation help line at 240.386.4865. Please note that this number is exclusively for inquiries regarding application accommodations. Employees may be eligible for a discretionary bonus in addition to base pay. FINRA also provides a variety of benefits including comprehensive health and welfare benefits, life and disability insurance, paid holidays, vacation, personal, and sick leave. FINRA offers immediate participation and vesting in a 401(k) plan with company match. You will also be eligible for participation in an additional FINRA-funded retirement contribution, our tuition reimbursement program and many other benefits. If you would like to contribute to our important mission and work collegially in a professional organization that values intelligence, integrity and initiative, consider a career with FINRA. Important Information FINRA’s Code of Conduct imposes restrictions on employees’ investments and requires financial disclosures that are uniquely related to our role as a securities regulator. FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts. All of those accounts are subject to the Code’s investment and securities account restrictions, and new employees must comply with those investment restrictions—including disposing of any security issued by a company on FINRA’s Prohibited Company List or obtaining a written waiver from their Executive Vice President—by the date they begin employment with FINRA. Employees may only maintain securities accounts that must be disclosed to FINRA at one or more securities firms that provide an electronic feed (e-feed) of data to FINRA, and must move securities accounts from other securities firms to a firm that provides an e-feed within three months of beginning employment. You can read more about these restrictions here. As standard practice, employees must also execute FINRA’s Employee Confidentiality and Invention Assignment Agreement without qualification or modification and comply with the company’s policy on nepotism. Search Firm Representatives Please be advised that FINRA is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, a valid written agreement and task order must be in place before any resumes are submitted to FINRA. All resumes submitted by search firms to any employee at FINRA without a valid written agreement and task order in place will be deemed the sole property of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any other classification protected by federal state or local laws as appropriate, or upon the protected status of the person’s relatives, friends or associates. FINRA abides by the requirements of 41 CFR 60-741.5(a). This regulation prohibits discrimination against qualified individuals on the basis of disability, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified individuals with disabilities. FINRA abides by the requirements of 41 CFR 60-300.5(a). This regulation prohibits discrimination against qualified protected veterans, and requires affirmative action by covered prime contractors and subcontractors to employ and advance in employment qualified protected veterans. ©2020 FINRA. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc.

Job Summary

JOB TYPE

Full Time

INDUSTRY

Professional Associations

SALARY

$111k-142k (estimate)

POST DATE

12/02/2022

EXPIRATION DATE

02/08/2023

WEBSITE

finra.org

HEADQUARTERS

WASHINGTON, DC

SIZE

3,000 - 7,500

FOUNDED

2007

TYPE

NGO/NPO/NFP/Organization/Association

CEO

RICHARD G KETCHUM

REVENUE

$1B - $3B

INDUSTRY

Professional Associations

Related Companies
About Financial Industry Regulatory Authority, Inc.

FINRA is a District of Columbia-based nonprofit organization that provides services including registration, dispute resolution, and regulatory for brokerage companies.

Show more

The job skills required for Senior Auditor include Internal Audit, Internal Control, CPA, Planning, Initiative, Business Administration, etc. Having related job skills and expertise will give you an advantage when applying to be a Senior Auditor. That makes you unique and can impact how much salary you can get paid. Below are job openings related to skills required by Senior Auditor. Select any job title you are interested in and start to search job requirements.

For the skill of  Internal Audit
State of Maryland - MLGCA Video Lottery Terminal
Full Time
$82k-100k (estimate)
6 Days Ago
For the skill of  Internal Control
Mission First
Full Time
$73k-108k (estimate)
3 Months Ago
For the skill of  CPA
DISTINCT
Full Time
$132k-163k (estimate)
1 Day Ago
Show more

The following is the career advancement route for Senior Auditor positions, which can be used as a reference in future career path planning. As a Senior Auditor, it can be promoted into senior positions as an Internal Auditor IV that are expected to handle more key tasks, people in this role will get a higher salary paid than an ordinary Senior Auditor. You can explore the career advancement for a Senior Auditor below and select your interested title to get hiring information.

Sparks Group
Contractor
$85k-102k (estimate)
0 Months Ago