Associate Director - SOX and Internal Audit

Job Description

  • Job Title Finance and Insurance


Job Description

Oppenheimer is a self-clearing broker-dealer engaged in a broad range of activities in the securities industry including retail securities brokerage, institutional sales and trading, investment banking, research, market-making, securities lending activities, trust services, and investment advisory and asset management services. We are looking to add an organized, detail-oriented, analytical thinker to our team who will support the Firm’s Internal Audit Department.

This position will primarily be responsible for the testing of SSAE18 and SOX controls, 3130 testing, but will also provide integrated audit support for other business audits. As an audit team member of our integrated audit teams, you will be responsible for scoping, managing and/or performing operational and integrated audits in a fast moving environment and work closely with business auditors in reviews of operations, compliance and governance controls.

Responsibilities Include:

  • Prepare and Update SOX documents, conduct walkthroughs and run the SOX compliance program.
  • Plan and conduct multiple, concurrent, internal audits under the general direction of the Head of Internal Audit and in compliance with audit standards, schedules and regulatory expectations.
  • Basic knowledge of financial services products, services, operations and regulations.
  • Review operational, financial, and trading processes to identify areas of risk and evaluate and test such processes and associated business controls.
  • Monitor audit progress and quality against stated objectives.
  • Develop written deliverables, including planning memos, risk and control matrices, testing procedures and the draft audit report.
  • Evaluate test results and discuss significant issues immediately with the Head of Internal Audit.
  • Prepare and maintain audit documentation in accordance with industry highest quality standards and internal approved guidelines.
  • Present audit findings and recommendations and discuss their implications with management.
  • Participate in working groups with middle management to provide a proactive risk view while maintaining independence.



3-5 years Internal or external audit experience or relevant compliance or operational risk experience




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