Staff Auditor II - Compliance & Wealth

Bonus Type

Summary

Internal Audit’s mission is to enhance and protect organizational value by delivering risk-based, objective assurance, advice, and insight.

We assure management and the Board of Directors by evaluating evidence and forming conclusions about operations, processes, systems, and controls. Our audits provide confidence in governance, risk management, and internal control frameworks.

We advise business partners by offering thoughtful recommendations on new products, services, technologies, and processes. Advisory engagements are performed at the request of the business and are designed to proactively support sound decision-making.

We add value by identifying opportunities to strengthen controls, reduce risk, and improve operational efficiency across the organization.

Job Description

Team Culture

“Assure, advise, and add value” is more than our motto—it’s how we work.

Internal Audit is a collaborative department of approximately 45 team members across specialized teams. We value inclusiveness, partnership, and open communication. Flexibility and work-life balance are core to how we operate and contribute to a positive, sustainable work environment.

Our team leads with integrity and heart, gives back to the community, and takes ownership of the work we do. Honesty, accountability, and doing the right thing are essential to success here.

How You'll Spend Your Time

• Execute audit testing by collecting, examining, and analyzing documentation such as policies, procedures, reports, financial statements, and control evidence.
• Evaluate business processes, risks, and internal controls related to compliance and wealth management activities with guidance from audit leadership.
• Support audit planning by assisting with engagement objectives and risk‑based test plans.
• Document audit results, internal control deficiencies, and observations, and assist in developing recommendations to improve processes and mitigate risk.
• Collaborate with audit team members on presentations, exit meetings, special projects, and research of regulatory and industry trends.

Education & Experience Requirements

The required level of knowledge is normally acquired through a Bachelor's degree in Finance, Accounting or related discipline in addition to 1 to 3 years related experience.

• General knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
• General knowledge of Compliance regulations (Consumer Compliance Audit) or Fiduciary and Securities regulations: 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules, Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board (Wealth Compliance Audit)
• Working towards or completed CPA, CIA, CISA, CRCM, CAMS, CFIRS or other pertinent certification
• Ability to apply learned things in moderately varied situations where reasoning and decision making are essential
• Strong ability to effectively communicate information and respond to questions in-person as well as small group situations
• Ability to effectively plan time, method, manner and sequence of own work assignments
• Strong Word, Excel, and PowerPoint knowledge

Working Conditions & Physical Requirements