Senior Internal Audit Associate

Key Responsibilities

• Participate in status meetings and serve as a liaison with external auditors while partnering with finance, IT, and compliance teams.
• Develop and maintain an internal framework for tracking and monitoring activities within the SOC 1 program’s scope.
• Advise finance, IT, and compliance management on evaluating changes to the SOC report scope based on organizational, product, or technology shifts.
• Provide guidance to business unit leaders to address control deviations, identify themes, and recommend remediation strategies as needed.
• Conduct testing of controls across finance, operations, and IT, documenting results thoroughly.
• Review SOC 1 (and SOC 2) reports from subservice providers and prepare assessments on the adequacy of their controls.
• Draft management assertion statements to accurately reflect the control environment for the audit period.
• Review SOC report drafts and propose updates in alignment with AICPA guidance, ensuring descriptions are accurate and useful.
• Respond to client inquiries related to SOC reports, including due diligence questionnaires and RFPs, in collaboration with Investor Relations.
• Participate in strategic initiatives and projects related to the SOC program.
• Oversee the successful completion of the annual SOC 1 Type 2 certification process.
• Contribute to the growth and evolution of the internal audit function as the firm expands.

Qualifications

• Bachelor’s degree in Accounting, Finance, or a related field is required.
• 3 years of audit experience in public accounting or internal audit, with a focus on SOC 1 (audit or in-house).
• Background in Information Technology is preferred.
• Professional certifications such as CPA, CIA, or CISA are a plus.
• Industry experience in Financial Services, Banking, or Insurance is highly desirable.
• Strong analytical and problem-solving skills, with excellent client service and time management abilities.
• Proficient in evaluating and testing internal controls.
• Exceptional attention to detail and ability to meet deadlines in a fast-paced environment.
• Proven self-starter with the ability to manage long-term projects effectively.
• Excellent communication skills, both written and verbal.

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