Audit Position, Regulatory Compliance

Audit Position, Regulatory Compliance

**COMMUTE TO MELVILLE, NY 4 DAYS PER WEEK IS REQUIRED**

About Us

Asgard Regulatory Group is a fast-growing compliance services firm dedicated to helping

regulated businesses navigate the complex world of compliance, risk, and governance. We pride ourselves on providing expert, customized compliance solutions that mitigate risk and support sustainable growth.

Role Summary

The Regulatory Compliance Auditor is responsible for conducting independent, objective audits to assess organizations’ adherence to applicable laws, regulations, internal policies, and industry standards. This role focuses exclusively on audit activities—planning, analyzing, executing, and reporting—without involvement in remediation, implementation or operational responsibilities. The auditor ensures that compliance risks are properly identified, documented, and communicated to stakeholders.

This position requires:

·      strong analytical and critical thinking skills

·      attention to detail

·      knowledge of the SEC and FINRA regulatory landscape

·      Strong organizational and time management skills

·      Technical competence (Microsoft, FINRA CRD,etc.)

·      Excellent written and verbal communication skills;

·      Independent self-starter and ability to work with teammates

Responsibilities include, but are not limited to:

·      Conduct FINRA Rule 3310 (Independent Anti-Money Laundering Inspection), FINRA Rule 3110 (Branch Inspection), FINRA Rule 3120 (Supervisory Control Review), SEC Rule 206(4)-7 (Annual Review), and others as applicable ;

·      Conduct detailed audits of processes, controls, and documentation to assess compliance with relevant regulations and standards.

·      Perform interviews and participate in walkthroughs and testing of controls with relevant departments.

·      Collect and analyze evidence to identify control weaknesses, process gaps, or potential violations.

·      Maintain clear, accurate working papers supporting audit conclusions.

·      Prepare formal audit reports outlining findings, risk impact, and evidence-based conclusions.

·      Communicate results to management and the compliance team in a clear, objective manner.

·      Recommend corrective actions while remaining independent from the implementation process.

Education and Experience Requirements:

·      Bachelor’s degree in Compliance, Accounting, Business Administration, Law, or related field.

·      Strong understanding of regulatory compliance concepts, control testing, and audit standards.

·      Proficiency with audit software/tools, documentation systems, and Microsoft Office.

·      3 years of experience in compliance auditing, internal auditing, regulatory affairs, or risk management (industry-specific experience a plus).

·      Strong knowledge of FINRA and SEC rules and regulations

·      Knowledge of FINRA and SEC Exam practices, experience with SEC and FINRA exams and mock exams preferred

·      Must be able to work from our office in Melville, NY; location will be in Holbrook as of 2026.

Compensation:

The anticipated base salary range for this position is listed below. The salary range takes into account the number of years of relevant work experience, education, and other relevant qualifications specific to the role.

Salary based on experience and $125,000 - $140,000 and full benefits package offered.