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Job Details

Senior Auditor - Internal Audit

Company name
Securities America, Inc

La Vista, NE

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The senior auditor is responsible for planning and performing basic to complex internal audit and enterprise risk projects. This responsibility includes performing internal audit procedures, identifying control deficiencies, assessing exposure and significance, proposing cost effective recommendations and preparing internal audit reports reflecting the results of the work performed. The responsibility also includes coordinating with appropriate control groups (internal and external) in planning, and executing assigned work. Work performed will include coverage of functional and operating units and focusing on compliance, financial, IT, and operational processes. Additionally, the senior auditor may perform follow-up on the status of outstanding internal audit issues.\r
Job Duties\/Tasks:\r
This position is responsible for, but not limited to the following:\r
\tPerform audit work at locations worldwide utilizing established guidelines to analyze the adequacy of internal controls and compliance with corporate procedures.  \r
\tPrioritize and assist in scheduling audit tests to be performed, and interact with auditees to obtain the necessary information. \r
\tAssist in the identification of audit requirements and development of recommendations that will facilitate business unit compliance to policies and regulations. \r
\tContribute to identification of department operational efficiencies and changes in auditing operations that could lead to savings in money or time. \r
\tAssess both the design and operating effectiveness of internal controls.\r
\tUnderstand the flow of business processes, including underlying technology, to identify potential points of failure.\r
\tEvaluate controls designed to prevent or detect fraud, including management override of controls\r
\tEvaluate controls over financial reporting process\r
\tParticipate on fraud or special investigations. \r
\tCommunicate audit results and recommendations both orally and in writing to the appropriate management. \r
\tSchedule and conduct presentations at meetings with auditees and management as needed. \r
\tParticipate in audit teams and department committees. \r
\tAcquire additional knowledge of laws and regulations.\r
\tPerforms other duties as assigned. \r
Required Qualifications:\r
\t2 years previous financial services industry or audit experience \r
\tBachelor’s degree or equivalent experience\r
\tAbility to travel\r
\tExcellent analytical skills\r
\tAbility to resolve problems and make decisions independently\r
\tExcellent verbal and written communications\r
\tSkilled in operating personal computer and various software packages (Microsoft Office, Outlook, Excel, etc.) \r
Preferred Qualifications:\r
\tSeries 7 and 66 (or 63\/65) \r
\tKnowledge of FINRA, SEC and compliance rules and regulations\r
\tIIA or Audit Certification (CIA, CFSA, CCSA, CRMA or CPA)\r

Company info

Securities America, Inc
Website :

Company Profile
At Securities America, we provide our financial representatives with the tools they need to offer the highest quality guidance and advice to investors. That means everything we do revolves around fostering independence and helping our representatives deliver the best financial products, services and financial counsel to their clients.

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