ASSOC, INTERNAL AUDITOR

Key Responsibilities

• Assist in executing audits across the full lifecycle, including planning, fieldwork, testing, and reporting
• Perform testing of internal controls to assess compliance with company policies, regulatory requirements, and frameworks such as the Model Audit Rule (MAR)
• Analyze transactional data, client activity, and operational processes to identify anomalies, risks, or control gaps
• Prepare clear and well-documented workpapers that support audit findings and conclusions
• Identify control weaknesses, compliance risks, and process improvement opportunities, and help develop practical recommendations
• Collaborate with business units to gather information, understand processes, and support a smooth audit process
• Support ongoing monitoring of regulatory changes and emerging risks, particularly within financial services and insurance
• Contribute to data-driven audit techniques and continuous improvement of audit methodologies

Minimum Requirements, Skills & Experience

• Bachelor’s degree in Finance, Accounting, Business, or related field required
• 3+ years of experience in compliance, risk management, audit, or financial investigations
• Experience in financial services, trading surveillance, AML, or regulatory compliance strongly preferred
• Familiarity with investigating transactions, identifying suspicious activity, or reviewing regulatory reports is a plus
• Professional certification (e.g., ACAMS, CPA, CIA) or progress toward certification is a plus
• Strong analytical and critical thinking skills with attention to detail
• Ability to communicate findings clearly in writing and verbally to stakeholders
• Experience working with data, reporting tools, or process improvement initiatives is beneficial

Compensation

• Position located in Denver, CO. Competitive salary, bonus, and benefits package commensurate with experience.
• Base compensation is expected to be $81,500 – 95,000* with the opportunity for incentive compensation including bonus compensation.
• This role will be Hybrid (3x a week in the office), Tues - Thurs.

EEOC: