Position Summary

Avantax is seeking a Senior Internal Auditor who will encompass executing and delivering a best-in-class audit program. The individual will play a key role in influencing positive change throughout the audit department and participate in other special projects, as applicable.

Essential Duties & Responsibilities

The individual must be able to execute each essential duty satisfactorily. Reasonable accommodation may be made to enable individuals with disabilities to perform essential functions.

• IT/Security Control Testing: Conduct comprehensive assessments of IT and security controls related to financial reporting and compliance to identify weaknesses, gaps, and areas for improvement.
• Develop testing documentation templates and prepare clear and concise documentation of testing procedures, test results, findings, and recommendations for improvement, ensuring compliance with audit standards.
• Ability to work closely with cross-functional teams, including IT, Information Security, Business Options, and Compliance, to facilitate communication and understanding of control requirements.
• Ability to identifying evaluating risks associated with internal controls, providing insights to help mitigate potential threats to financial integrity and regulatory compliance and identifying opportunities for implementing automated control testing and continuous monitoring.
• Audit Facilitation: Assist with facilitating internal controls over financial reporting and compliance audits by serving as a coordinator between Management and External Auditors for audit deliverables and audit walkthroughs.
• Documentation: Prepare clear and concise documentation of testing procedures, test results, findings, and recommendations for improvement, ensuring compliance with audit standards.
• Collaboration: Work closely with cross-functional teams, including IT, Compliance, and Risk, to facilitate communication and understanding of risk universe
• Risk Assessment: Assist in identifying and evaluating risks associated with internal controls, providing insights to help mitigate potential threats to financial integrity and regulatory compliance.
• Continuous Improvement: Contribute to the ongoing development and enhancement of internal control processes, policies, and procedures to align with industry best practices and regulatory changes.
• Other job duties as assigned.

Education & Experience

• Bachelor’s degree in Information Technology, Computer Science, Finance, Accounting, or a related field.
• Excellent analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Detail-oriented with a high level of accuracy.
• Proficient with Microsoft Excel and Office Suite.
• Preferred Qualifications:
• Willingness to obtain certifications such as CISA, CIA, Series 7 and 63, or equivalent.
• Previous experience in internal audit, compliance, or security control testing.
• Highly organized and detail-oriented
• Highly motivated and driven, with the ability to work independently or as part of a team.
• Ability to keep meticulous records, maintain accuracy, and not lose sight of important details.

Physical Demands & Work Effort

• Keying/typing, standing, walking.
• Sitting for an extended period.
• Constant mental and/or visual attention; the work is either repetitive or diversified requiring constant alertness in an office environment.
• The job is typically performed under comfortable working conditions; any disagreeable elements are generally absent during the normal performance of the job.
• Compliance with company attendance standards.

Comprehensive Benefits

We offer a competitive salary, and an outstanding benefits package that includes medical, dental, vision, life insurance, paid vacation and sick days, paid holidays, tuition reimbursement, and 401(k) with the company.

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