Internal Auditor

Internal Audit Opportunity in Financial Services

Auditor

Location(s): 12325 Port Grace Blvd, La Vista, NE 68128

Role Type: Full time

Summary:

The auditor is responsible for performing internal audit and enterprise risk projects of varying complexity. This responsibility includes performing internal audit procedures, identifying control deficiencies, assessing exposure and significance, proposing cost effective recommendations and assisting in the preparation of internal audit reports reflecting the results of the work performed. The responsibility also includes coordinating with appropriate control groups (internal and external) in planning and executing assigned work. Work performed will include coverage of functional and operating units and focusing on compliance, financial, IT, and operational processes.

Why Advisor Group

• Competitive salary and annual bonus paid based on performance
• Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
• Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
• 401(k) match from day one of employment
• Referral bonuses if we hire your referred applicants to our open positions
• An enriching and engaging career in financial services - our employees overwhelmingly report that they find meaning and purpose in their day to day work
• Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events
• New, professional, and collaborative working environment where parking is provided
• Brand new facility

Responsibilities:

• Conducts assessments of risk pertaining to Advisor Group objectives and internal controls
• Performs audits of internal controls
• Evaluate and provide recommendations pertaining to audit requirements regarding financial reporting, safeguarding of assets, efficiency in business operations and compliance to policies and regulations
• Assist in audit program development and special investigations
• Contribute to identification of department operational efficiencies and changes in auditing operations that could lead to savings in money or time
• Understand the flow of business processes, including underlying technology, to identify potential points of failure
• Evaluate controls designed to prevent or detect fraud, including management override of controls
• Prepare and present findings as needed
• All other duties as assigned

Education Requirements:

• Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Basic Requirements:

• 2+ years previous audit experience
• 1-2 years previous financial services industry experience
• Ability to travel up to 50%
• Excellent analytical skills
• Ability to resolve problems and make decisions independently
• Excellent verbal and written communications
• Skilled in operating personal computer and various software packages (Microsoft Office, Outlook, Excel, etc.)
• Experience with ACL or data analytics software preferred

Preferred Requirements:

• Series 7 and 66 (or 63/65)
• Knowledge of FINRA, SEC and compliance rules and regulations
• IIA or Audit Certification (CIA, CFSA, CCSA, CRMA or CPA)