85 applicants

Company

Empower · 1 day ago

Senior Compliance Audit Specialist

Nationwide Remote

Full-time

Hybrid

Senior Level

$76K/yr - $108K/yr

5+ years exp

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Employee BenefitsNon Profit

Actively Hiring

No H1B

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Responsibilities

Assist in the identification of audit/project scope and design of a testing plan to determine if controls designed to support compliance are operating effectively

Review junior team member work and provide constructive feedback that ensures the accuracy of work completed when compared to the audit plan and to develop junior team members

Supports the aggregation and presentation of Regulatory Compliance’s activity and metrics

Support the documentation and reporting of audit findings and recommendations

Collaborate with senior team members and management to validate corrective actions and compliance improvements

Participate in training sessions and professional development opportunities to enhance compliance knowledge

Schedule and participate in meetings with business area personnel to conduct audits and oversee or complete the audit testing results

Qualification

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Corporate ComplianceAudit ExperienceInvestment Adviser ComplianceBroker-Dealer ComplianceInvestment Company ComplianceCPACIACFEFINRA LicensesEmpowering OthersDeep CuriosityFINRA Fingerprinting

Required

5+ years of experience in corporate compliance, including audit experience

Bachelors degree or equivalent work experience

FINRA fingerprinting required

Preferred

Previous experience with investment adviser, broker-dealer, or investment company compliance policies and procedures is highly preferred

CPA, CIA, CFE, or relevant FINRA licenses preferred

Benefits

Medical, dental, vision and life insurance

Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup

Tuition reimbursement up to $5,250/year

Business-casual environment that includes the option to wear jeans

Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year

Paid volunteer time — 16 hours per calendar year

Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)

Business Resource Groups (BRGs) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.