Sr. Internal Auditor/Capital Markets – CPA/CFA/FRM
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Working with one of our top financial clients, this role calls for an Internal Auditor with CPA, CFA, or FRM designation. This position offers the opportunity to work on diverse audit projects, support internal controls, and contribute to the organization’s risk mitigation strategies in a dynamic financial environment.
Responsibilities
- Lead and execute end-to-end internal audit engagements, including planning, execution, and reporting.
- Perform control testing, walkthroughs, and documentation independently.
- Support audit planning, risk assessments, and development of audit programs.
- Conduct walk-through meetings and document findings clearly and thoroughly.
- Identify, evaluate, and validate audit issues, and communicate findings to stakeholders.
- Prepare audit deliverables such as Audit Planning Memoranda, Process Risk and Control Matrices, Findings Grid, and Audit Reports.
- Support follow-up on audit issues and ensure timely closure of findings.
- Collaborate with internal and external stakeholders during the audit process, maintaining effective communication.
- Present objective and independent audit opinions on internal control adequacy, aligned with professional standards.
- Assist in regulatory and divisional audit follow-ups and compliance reviews.
- Contribute subject matter expertise to assess key risks and recommend control improvements.
Desired Skill-Set
- Over 5 years of internal audit experience within financial services or related industries.
- Relevant professional certifications: CPA, CFA, or FRM.
- Strong knowledge of internal controls, risk management, and audit methodologies.
- Proficiency in MS Office Suite (Excel, Word, PowerPoint, Access, Outlook) and internet applications.
- Excellent communication skills, both written and verbal, with ability to interact effectively across teams.
- Proven ability to deliver high-quality work independently within tight deadlines.
- Strong analytical skills with attention to detail.
- Ability to work collaboratively and provide guidance to team members.
Nice to Have
- Experience in capital markets or banking operations.
- Large financial institution experience.
- Knowledge of regulatory requirements and compliance frameworks.
- Additional certifications: FRM, CFA, or CIA.
BeachHead is an equal opportunity agency and employer. We advocate for our candidates and welcome applicants regardless of race, color, religion, national origin, sex, age, or physical or mental disability. BeachHead or our clients may use technology-enabled tools, including automation and artificial intelligence (AI), to support parts of the recruitment process such as resume screening, application management, and candidate matching. These tools assist our recruiters and our clients, and do not replace human decision-making. This job posting represents a current or anticipated vacancy. The position may be filled at any time, and the posting may be removed without notice once the role has been filled.