Internal Audit Senior Associate

The Internal Audit Senior Associate applies sound audit judgment, business knowledge, and an understanding of applicable regulatory requirements to develop audit approaches, coordinate audit team activities, evaluate processes and controls, communicate results, and drive timely completion of high-quality audit deliverables. Assists the Audit Director or engagement leader with leading audit status meetings, close meetings, and other audit discussions with business process owners and management, communicating audit progress, risks, delays, preliminary results, and final observations clearly and timely.

How will this role impact First Command?

Reporting to the Director of Internal Audit, the Internal Audit Senior Associate is accountable for leading full internal audit engagements across First Command, from planning and risk assessment through fieldwork execution, issue validation, reporting, and follow-up. This role is expected to both lead the audit and personally execute core audit activities, including walkthroughs, testing, document requests, follow-up, work paper preparation, analysis of exceptions, and timely communication of audit status and preliminary results. The Internal Audit Senior Associate applies sound audit judgment, business knowledge, and an understanding of applicable regulatory requirements to develop audit approaches, coordinate audit team activities, evaluate processes and controls, communicate results, and drive timely completion of high-quality audit deliverables. This role works with employees and management at all levels, supervises assigned audit team members, supports timely remediation of audit issues, and maintains objectivity, professionalism, and sound judgment throughout the audit lifecycle.

 

What will the employee do in this role?

• Leads full internal audit engagements, including planning, risk assessment, scope development, fieldwork execution, reporting, and follow-up activities, while remaining directly responsible for executing key activities and deliverables
• Develops and refines audit objectives, scope, work programs, and testing approaches by leveraging prior audit results, business knowledge, data, external research, and applicable regulatory requirements
• Plans and leads walkthroughs, interviews, and process discussions to understand business processes, risks, controls, and key changes impacting the audit
• Performs audit fieldwork activities, including testing execution, follow-up, audit team coordination, budget and timeline monitoring, status tracking, and timely completion of audit program steps
• Identifies necessary system access, reports, data sources, and subject matter resources needed to obtain complete and accurate audit populations and evidence
• Assesses and analyzes large, complex data sets to evaluate population completeness and accuracy and support appropriate sample selection
• Prepares, manages, and follows up on document requests across the full audit engagement to support accurate and timely completion by management and maintain audit momentum
• Identifies, analyzes, validates, and communicates potential observations, including root cause, risk impact, and practical recommendations for remediation
• Assists the Audit Director or engagement leader with leading audit status meetings, close meetings, and other audit discussions with business process owners and management, communicating audit progress, risks, delays, preliminary results, and final observations clearly and timely
• Prepares and reviews audit work papers, observations, and supporting documentation to ensure conclusions are accurate, well-supported, clearly written, and aligned with Internal Audit methodology, including work personally performed.
• Assists with the management of audit priorities, team assignments, deadlines, and issue escalation to ensure audit engagements remain on track and deliverables are completed timely
• Assists with the administration, validation, documentation, and status reporting of management action plans from completed audits
• Coaches, develops, and provides day-to-day direction to assigned audit team members, including review of work, feedback on audit execution, and support for professional development
• Interfaces with all levels of the organization and builds professional relationships that support trust, transparency, and objectivity in the Internal Audit process

What roles will this employee lead?

• This role does not have direct people-management responsibilities but may provide day-to-day guidance, coaching, and review support to less experienced auditors during fieldwork.

What skills & qualifications do you need?

Education

• Bachelor's degree in Finance, Accounting or a related field preferred

Work Experience

• 6-10 years of internal audit, external audit, risk, compliance, or related control experience required
• Experience executing audit programs for assigned audits, including coordinating audit requests, validating exceptions, and preparing work papers in accordance with audit methodology
• Broker Dealer (BD), Registered Investment Advisor (RIA), Banking, or SEC/FINRA/OCC regulated environment experience required

Certifications

• Audit-related certification preferred, but not required (i.e., CFE, CIA, CPA, CISA)
• FINRA licenses preferred, but not required (i.e., Series 99, 6, 7, 24 or SIE) 

Required Knowledge, Skills and Abilities

• Demonstrated ability to lead full audit engagements with limited day-to-day supervision while personally executing key audit procedures, communicating with stakeholders, and timely escalation of risks, delays, and potential observations
• Strong understanding of audit methodology, risk and control concepts, testing approaches, evidence evaluation, and work paper standards
• Must be proactive and work with a sense of urgency
• Must demonstrate strong work ethic and desire to get the job done
• Self-motivated to provide high-quality work and meet deadlines
• Must be able to form relationships without compromising objectivity of audit conclusions
• Exceptional interpersonal skills, including written and oral communications, listening, and fostering open communications
• Absolute commitment to timely delivery of quality service and work product
• Must use sound judgment when handling confidential and/or sensitive information
• High level of competency in computer skills including data analysis, analytical tools, and the Microsoft Office Suite
• Ability to quickly learn new systems necessary for completing audits

 

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Required Skills


Required Experience