Auditor

Risk Management Opportunity in Financial Services

Auditor I  


Preferred Location:      12325 Port Grace Boulevard, La Vista, NE 68128

Accepting qualified candidates in all locations and remote

Summary:

The Auditor is responsible for performing internal audit and enterprise risk projects of varying complexity.  Our Auditors are responsible for performing internal audit procedures, identifying control deficiencies, assessing exposure and significance, proposing cost effective recommendations, and assisting in the preparation of internal audit reports reflecting the results of the work performed.  The Auditor will also coordinate 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.

Responsibilities:

  • Conducts assessments of risk pertaining to company objectives and internal controls
  • Performs audits of internal controls
  • Evaluate and provide recommendations pertaining to audit requirements regarding financial reporting, safeguarding of assets, efficiency in business operations and compliance to policies and regulations
  • Assist in audit program development and special investigations
  • Contribute to identification of department operational efficiencies and changes in auditing operations that could lead to savings in money or time
  • Understand the flow of business processes, including underlying technology, to identify potential points of failure
  • Evaluate controls designed to prevent or detect fraud, including management override of controls
  • Prepare and present findings as needed
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 2+ years previous audit experience
  • 1-2 years previous financial services industry experience
  • Ability to travel
  • Excellent analytical skills
  • Ability to resolve problems and make decisions independently
  • Excellent verbal and written communications
  • Skilled in operating personal computer and various software packages (Microsoft Office, Outlook, Excel, etc.)
  • Experience with ACL or data analytics software preferred

Preferred Requirements:

  • FINRA Series 7 and 66 (or 63/65)
  • Knowledge of FINRA, SEC and compliance rules and regulations
  • IIA or Audit Certification (CIA, CFSA, CCSA, CRMA or CPA)
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.