**Job Summary:** As an individual contributor under general supervision, uses knowledge and skills, obtained through education and/or experience, training and/or certification, to assist in conducting audits of assigned processes within a functional area. Recommends process improvements for internal audit processes and management’s controls. Resolves or recommends solutions to problems. **Responsibilities:** • Supports audit activities including audit control design evaluation and operating testing effectiveness. • Performs validation of issue remediations. • Partners with colleagues, internal audit management, and stakeholders to evaluate the control environment and assist with audit planning. • Develops and maintains an in-depth understanding of assigned business areas, its products, and supporting functions. • Stays up to date with evolving industry and regulatory changes impacting the business. • Produces quality deliverables in accordance with both department and professional standards, including project management requirements. • Performs other duties and responsibilities as assigned. **Knowledge of** • Audit practices and methodologies, including risk assessment internal control concepts. • A combination of elements of finance, accounting, treasury, broker dealer operations, and risk knowledge. **Skill in** • Project management, including assisting with audit planning, fieldwork, and reporting. • Meet deadlines within budgeted hours. • Demonstrates initiative and problem-solving skills. • Establish and maintain effective working relationships at all levels of the organization. • Written and verbal communication, including high quality workpapers. **Ability to** • Demonstrate enthusiasm, self-motivation, and effectiveness under pressure and willingness to take personal accountability. • Work well individually and in teams to share information, support colleagues, and encourage participation. **Education/Previous Experience** • Bachelor’s Degree in Business Administration, Economics, Finance, Accounting or a related field and a minimum of one year of experience in the financial services industry. • OR ~ • Any equivalent combination of experience, education, and/or training approved by Human Resources. **Licenses/Certifications** • CIA, CPA, CRMA, CFA, or FRM Certification(s) preferred.