Internal Audit Associate III

How will this role impact First Command

Reporting to the Director of Internal Audit the Internal Audit Associate III is accountable for leading assigned fieldwork activities and completing testing and workpaper documentation related to internal audits across First Command. The Internal Audit Associate III works under the direction of the Audit Director or engagement leader and helps coordinate day-to-day fieldwork execution including walkthroughs testing exception validation document requests follow-up and timely communication of fieldwork status and preliminary results. This role works with employees and management at all levels supports timely remediation of audit issues and maintains objectivity professionalism and sound judgment while preserving a clear distinction between leading fieldwork activities and owning the full audit lifecycle.

What will the employee do in this role

• Works with the Audit Director or engagement leader to support initial planning research and coordination necessary to execute assigned fieldwork and complete audit procedures
• Leverages prior audit results work papers external research data and working knowledge of applicable regulations to support the execution of audit procedures and recommend adjustments when processes or regulatory requirements change
• Leads or facilitates walkthroughs interviews status discussions fieldwork meetings and other audit-related discussions with business process owners and management taking detailed notes to capture relevant process risk and control information necessary to develop and execute audit procedures.
• Coordinates leads and performs fieldwork execution for assigned audit areas including testing follow-up status tracking and timely completion of assigned audit program steps
• Identifies necessary system access reports and data sources needed to obtain complete and accurate populations for assigned audit testing
• 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 to support accurate and timely completion by management and maintain fieldwork momentum
• Identifies analyzes and validates potential exceptions socializes initial results timely and escalates unresolved matters to the Audit Director or engagement leader for disposition
• Communicates fieldwork status delays risks potential issues and preliminary results during status meetings close meetings and other fieldwork discussions
• Documents work papers thoroughly clearly and concisely to support conclusions and allow for efficient review by the Audit Director or engagement leader
• Monitors and reviews the status of assigned audit procedures to ensure fieldwork tasks priorities and deadlines remain on track and issues are escalated timely
• Assists with the administration validation documentation and status reporting of management action plans from completed audits
• 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

• Bachelors degree in Finance Accounting or a related field preferred

Work Experience

• At least 4-7 years of internal audit external audit risk compliance or related control experience required
• Experience executing fieldwork activities for assigned audit areas 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 fieldwork activities with limited day-to-day supervision while escalating risks delays and potential observations timely
• 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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