Internal Audit Associate: Compliance, Controls & Operations

Confidential; Jacksonville (FL); On-site; USD 65,000 - 90,000; Full time

Job summary

Confidential, based in Jacksonville, FL, seeks an Associate, Internal Audit – Compliance & Operations to evaluate internal controls and risk management across compliance and operations within a regulated environment.

You will conduct risk-based audits, assess regulatory adherence (AML/BSA, SEC, FINRA), review onboarding and transaction processing for control effectiveness, and prepare clear, actionable recommendations.

Qualifications

• Bachelor’s degree in Accounting, Finance, or related field.
• 3+ years of internal audit, compliance, or operational risk in a regulated environment.
• Knowledge of AML/BSA, SEC, FINRA or similar frameworks.
• Certifications preferred: CIA, CAMS, CFE, CPA.
• Strong analytical and communication skills.

Responsibilities

• Conduct audits of compliance programs and operational processes; evaluate control design and effectiveness.
• Assess areas such as compliance monitoring, trade surveillance, AML/BSA, licensing, and conduct risk.
• Review onboarding, transaction processing, settlement processes 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 actionable recommendations.
• Prepare audit documentation and reports detailing findings and risk exposure.
• Collaborate with internal audit teams and stakeholders to ensure a risk-based approach.
• Maintain relationships with business, compliance, and control functions.
• Assist with regulatory reviews and SOX-related activities as needed.
• Leverage data analytics to enhance audit testing and identify risk trends.

Skills

Analytical thinking

Communication skills

Attention to detail

Time management

Collaboration

Education

Bachelor’s degree

CIA, CAMS, CFE, CPA

Job description

Confidential, based in Jacksonville, FL, seeks an Associate, Internal Audit – Compliance & Operations to evaluate internal controls and risk management across compliance and operations within a regulated environment.

You will conduct risk-based audits, assess regulatory adherence (AML/BSA, SEC, FINRA), review onboarding and transaction processing for control effectiveness, and prepare clear, actionable recommendations.