About the Role** This position is for a Wealth Management Internal Audit role focused on Regulatory Reporting. The candidate will serve as the "third line of defense," independently evaluating the firm's internal control structure. The role specifically involves assessing compliance with SEC and FNRA rules related to trade reporting and employee equity compensation within Stockplan-specific operations. **Responsibilities** - **Audit Lifecycle Management:** Lead and execute audits, including planning, scoping, testing operational design effectiveness, conducting fieldwork, and managing closure verification/validation and reporting phases within the Wealth Management business. - **Regulatory Reporting Evaluation:** Assess the adequacy and accuracy of various regulatory reports submitted to authorities. This includes performing walkthroughs to document process flowcharts and narratives. - **TRACE, CATS Oversight:** Validate the accuracy of Trade Reporting and Compliance Engine (TRACE) and Consolidated Audit Trail (CAT). This involves investigating and highlighting anomalies via reporting and coordinating the remediation of reported anomalies through documentation and revision of controls. - **Stockplan/Wealth Compliance:** Audit operations for compliance with fiduciary standards (e.g., OCC Reg 9) and test controls over electronic communications as per FNRA/SEC rules. - **Remediation & Validation:** Follow up on open audit issues and perform validation testing on management's completed remediation plans. **Education Qualification** - Bachelor's degree in Accounting, Business, or Economics. - Preferred certifications include Certified Internal Auditor (CIA) or CPA, FNRA Series 65 or 66, and Certified Financial Planner (CFP). **Required Skills** - **Technical Knowledge:** Deep understanding of investment vehicles, wealth management products, and financial regulations. - **Audit Standards:** Proficiency in internal auditing standards, preferably for large banks. - **Experience:** Typically 3–7 years in internal audit, internal controls assessment, or wealth management compliance. - **Location:** NY/NJ only, with an expectation to work in the client location at NYC for 3 day a week without exception. **Skills** - **Internal Auditing:** Required, with 7+ years of experience.

The Company offers the following benefits for this position, subject to applicable eligibility requirements: medical insurance, dental insurance, vision insurance, 401(k) retirement plan, life insurance, long-term disability insurance, short-term disability insurance, paid parking/public transportation, paid time off, paid sick and safe time, hours of paid vacation time, weeks of paid parental leave, and paid holidays annually – as applicable.