Associate, Internal Audit – Compliance & Operations

Confidential; Jacksonville (FL); On-site; USD 65,000 - 95,000; Full time

Job summary

Confidential in Jacksonville, FL, seeks an Associate, Internal Audit – Compliance & Operations to assess control design and effectiveness across compliance and operational functions in a regulated environment. You will execute risk-based audits, review onboarding, settlement, and processing controls, and support the annual audit plan with data-driven testing and clear recommendations.

The role requires 3+ years in internal audit or related fields, a Bachelor's degree in a related area, and

Qualifications

• Bachelor's degree required in Accounting, Finance, Business, or related field.
• 3+ years of experience in internal audit, compliance, or operational risk in a regulated environment.
• Knowledge of financial services regulations (AML/BSA, SEC, FINRA, or similar).
• Familiarity with operational processes and control environments.
• Certifications such as CIA, CAMS, CFE, CPA preferred.
• Strong analytical and problem-solving capabilities.
• Excellent written and verbal communication skills.
• Ability to manage multiple priorities and meet deadlines.
• Detail-oriented with strong organizational skills.
• Collaborative mindset with the ability to work independently.

Responsibilities

• Conduct audits of compliance programs and operational processes, evaluating control design and effectiveness
• Assess areas such as compliance monitoring, trade surveillance, AML/BSA, licensing, and conduct risk
• Review operational processes (e.g., onboarding, transaction processing, settlement) for control adequacy and efficiency
• Support the development and execution of the annual audit plan based on risk assessments
• Identify control gaps, inefficiencies, and emerging risks; develop clear, actionable recommendations
• Prepare audit documentation and reports detailing findings and risk exposure
• Collaborate with internal audit teams and stakeholders to ensure a comprehensive risk-based approach
• Maintain strong working relationships with business, compliance, and control functions
• Assist with regulatory reviews, special projects, and SOX-related activities as needed
• Leverage data analytics to enhance audit testing and identify risk trends

Skills

Auditing

Analytical thinking

Communication skills

Risk assessment

Regulatory knowledge

Education

Bachelor's degree in Accounting/Finance/Business

CIA/CAMS/CFE/CPA preferred

Job description

The Associate, Internal Audit – Compliance & Operations supports the evaluation of internal controls and risk management practices across compliance and operational functions within a complex, regulated environment. This role focuses on executing risk-based audits, assessing regulatory adherence, and identifying opportunities to strengthen control frameworks and operational efficiency.

Key Responsibilities

• Conduct audits of compliance programs and operational processes, evaluating control design and effectiveness
• Assess areas such as compliance monitoring, trade surveillance, AML/BSA, licensing, and conduct risk
• Review operational processes (e.g., onboarding, transaction processing, settlement) for control adequacy and efficiency
• Support the development and execution of the annual audit plan based on risk assessments
• Identify control gaps, inefficiencies, and emerging risks; develop clear, actionable recommendations
• Prepare audit documentation and reports detailing findings and risk exposure
• Collaborate with internal audit teams and stakeholders to ensure a comprehensive risk-based approach
• Maintain strong working relationships with business, compliance, and control functions
• Assist with regulatory reviews, special projects, and SOX-related activities as needed
• Leverage data analytics to enhance audit testing and identify risk trends

Qualifications

• Bachelor’s degree in Accounting, Finance, Business, or related field
• 3+ years of experience in internal audit, compliance, or operational risk within a regulated environment
• Knowledge of financial services regulations (e.g., AML/BSA, SEC, FINRA, or similar frameworks)
• Familiarity with operational processes and control environments
• Professional certifications (e.g., CIA, CAMS, CFE, CPA) preferred
• Strong analytical and problem‑solving capabilities
• Excellent written and verbal communication skills
• Ability to manage multiple priorities and meet deadlines
• Detail‑oriented with strong organizational skills
• Collaborative mindset with the ability to work independently

What You’ll Bring

A proactive, results‑driven approach to audit execution, with the ability to assess risk, communicate insights clearly, and contribute to a strong control and compliance environment.