Tester, RCSA Control Assurance Team

Your Opportunity

We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.

As a company, we were established by Chuck over 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.

Our Opportunity:

The 1^st Line of Defense (LOD) risk team is responsible for monitoring and evaluating the effectiveness of internal controls established to mitigate identified risks.  These individuals exhibit a deep understanding of the LOB including applicable systems, tools, policies and procedures and are adept at identifying procedural gaps and deficiencies.  Risk Analysts will evaluate the design adequacy of the internal control in addition to the operating effectiveness.  Qualified persons should be experienced in risk mitigation, policy execution and relationship management.

What you are good at

What you are good at:

• Participate in the design and successful execution of internal control examinations and provide strategic and proactive consultation in identifying risk exposures and developing solutions for weaknesses and regulatory compliance issues
• Understand scope of examination and prioritize examination activities to adhere to testing schedule and complete evaluation according to planned timelines and standards set by Corporate and Regulatory standards
• Evaluate the effectiveness of controls in place to mitigate identified risk; review evidence, document testing results in a comprehensive and organized manner; develop recommendations to correct deficiencies and provide ideas for process improvements
• For issues identified where controls can be enhanced to ensure compliance with firm or regulatory requirements, support business partners and senior leadership by monitoring action plans to ensure root cause of control deficiencies are resolved in a timely manner
• Maintain a strong working knowledge of federal and/or state fiduciary compliance regulatory requirements applicable to the assigned areas of the review

This is a summary only and duties and responsibilities may be changed from time to time, or over time.

What you have

What you have:

The ideal candidate will possess the following qualifications

Required Competencies:

• Bachelor’s degree; preferably in Accounting, Finance, Business Administration; equivalent work experience can be considered in lieu of education
• 3-5 years of related work experience in audit, risk management or compliance; 2-3 years of control testing highly preferred
• Strong Microsoft Office knowledge; preferably advanced Microsoft PowerPoint and Excel skills and familiarity with SharePoint and Tableau
• Demonstrated written and oral communication skills and ability to communicate with all levels of management
• Ability to build strong relationships and work cross functionally with internal and external constituents
• Strong analytical skills with the ability to identify, research and weigh risk and control issues
• Ability to work cooperatively and effectively with supporting team members to meet departmental goals
• Strong time management, organization and prioritization skills; ability to complete multiple concurrent tasks within close deadlines with a high degree of accuracy and detail
• Exercise sound judgment to influence a strong risk management culture across business practices
• Self-motivated along with the ability to bring projects and reporting to conclusion

Preferred Competencies:

• Three or more years of financial service experience with strong understanding of FINRA and SEC rules including the Investment Advisors Act and securities industry practices
• CISA, CISSP, CIA, or Series 7 (active registration)

In addition to the salary range, this role is also eligible for bonus or incentive opportunities