Osaic · 2 hours ago
Internal Auditor
Scottsdale, AZ
Full-time
Hybrid
Entry, Mid Level
$78K/yr - $88K/yr
2+ years expOsaic is a financial services company seeking an Internal Auditor to collaborate with the Internal Audit team and business stakeholders. The role involves planning and executing operational and regulatory audits, identifying control gaps, assessing risks, and preparing comprehensive audit reports summarizing findings and recommendations.
Business DevelopmentFinancial ServicesWealth Management
Responsibilities
Conduct internal audits assessing the design and operating effectiveness of internal controls (30%)
Prioritize and schedule testing to be performed, and interact with auditees to obtain the necessary information (25%)
Track remediation of the Management Action Plans developed to address audit findings (15%)
Prepare and present findings, as needed (10%)
Communicate audit results and recommendations both orally and in writing to management (10%)
Contribute to the identification and implementation of department operational efficiencies and changes in auditing operations (5%)
Schedule and conduct presentations with auditees and management, as needed (5%)
Qualification
Required
Bachelor's degree in accounting, finance, risk management, business administration, or related field
2 to 4 years of previous work experience
Active Listening: Demonstrates the ability to listen attentively, understand others' perspectives, ask clarifying questions when appropriate, and avoid interrupting during discussions
Adaptability: Maintains openness to change, whether positive or negative, and adjusts effectively to a diverse and evolving work environment
Analytical Reasoning: Applies logical thinking to evaluate the strengths and weaknesses of various solutions, conclusions, or approaches to complex problems
Communication Skills: Communicates information clearly and effectively, both verbally and in writing, tailoring messages to meet the needs of different audiences
Decision-Making: Assesses potential risks and benefits of actions and selects the most appropriate course based on sound judgment
Creativity: Generates innovative ideas and develops creative solutions to challenges or opportunities within the organization
Relationship Building: Builds and maintains constructive, cooperative working relationships over time; demonstrates a pleasant, professional, and collaborative attitude
Time Management & Multitasking: Effectively manages personal and team schedules, prioritizes tasks, and transitions smoothly between multiple activities or sources of information
Technical Proficiency: Possesses solid knowledge of Microsoft Office applications and leverages cross-functional features to improve organizational efficiency
Preferred
Series 7, 24, and 63/65 or 66 preferred; or willing to obtain
IIA or Audit Certification preferred (CIA, CFSA, CCSA, CRMA or CPA)
Knowledge of FINRA and SEC rules and regulations
Knowledge of BSA/AML rules and regulations is a plus
2+ years of experience in the financial services industry, internal audit, or risk/compliance testing
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
Much more
Company
Osaic
Osaic provides the support, resources, and community designed for the future of wealth management.
1001-5000 employees
H1B Sponsorship
Osaic 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 (1)
2024 (1)
2023 (1)
Funding
Current Stage
Late StageLeadership Team
Jamie Price
Chief Executive Officer
Kristy Britt
CFO
Recent News
2026-01-23
Investment News
2026-01-22
Company data provided by crunchbase