Staff Auditor jobs in United States
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Oppenheimer & Co. Inc. · 10 hours ago

Staff Auditor

positionNew York, NY
timeFull-time
remoteOnsite
senioritySenior Level, Lead/Staff
money$95K/yr - $120K/yr
date0+ years exp

Oppenheimer & Co. Inc. is a leading middle-market investment bank and full service broker-dealer. They are seeking a Staff Auditor to join their Internal Audit Department to participate in risk-based audits across the Firm’s business lines and support functions, assessing the effectiveness of internal controls and regulatory compliance.

Financial Services
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H1B Sponsor Likelynote

Responsibilities

Conducts an internal audit under the general direction of the Head of Internal Audit or designee in compliance with audit standards, schedules and regulatory expectations
Perform Sarbanes-Oxley, SSAE-18 and FINRA 3130 testing
Develop an understanding of the function/department and how it relates to other areas of the firm
Develop written deliverables, including a planning memo, risk and control matrix, testing procedures and a draft audit report
Evaluate audit test results and discuss potential issues with the Head of Internal Audit
Present audit findings and recommendations and discuss their implications with the auditee
Prepare and maintain audit documentation in accordance with industry highest quality standards and internal approved guidelines
Keep current with audit best practices, industry knowledge and regulations through continuing education

Qualification

Internal Audit experienceInternal controlsAudit principles knowledgeData analysis toolsCIACPACFE certificationsAnalytical abilityWritten communication skillsVerbal communication skillsProblem solving skillsAttention to detail

Required

Bachelor's Degree in Accounting, Finance, Business or a related field
Up to 4 years of Internal Audit experience; relevant industry experience preferred
Excellent written and verbal communication skills
Excellent analytical ability and problem solving skills
A high degree of initiative, inquisitiveness, enthusiasm and attention to detail
Eager to stay ahead of industry trends and best practices
Strong understanding of internal control concepts, audit principles, and risk assessment
Familiarity with securities industry operations, FINRA/SEC regulatory environment, and broker-dealer supervisory processes is a plus
Proficiency with Microsoft Office (Excel, Word, PowerPoint, Visio); experience with data analysis tools (e.g., IDEA, Tableau) is a plus

Preferred

CIA, CPA, or CFE certifications or progress toward certification is preferred, but not required

Benefits

Discretionary bonus

Company

Oppenheimer & Co. Inc.

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Oppenheimer is a global financial institution offering Wealth Management, Capital Markets, and Investment Banking solutions.
dateFounded in 1881
location
New York, New York, USA
people-size1001-5000 employees
web-link
https://oppenheimer.com

H1B Sponsorship

Oppenheimer & Co. Inc. has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (4)
2024 (7)
2023 (6)
2022 (1)
2021 (6)
2020 (4)

Funding

Current Stage
Public Company
Total Funding
unknown
1986-09-05IPO

Leadership Team

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Craig Schneider
Managing Director - Regional Director
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Douglas Siegel
Managing Director, Chief Compliance Officer
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