About this role
The Senior Internal Auditor will conduct integrated operational, compliance, and financial audits, including Sarbanes-Oxley (SOX) testing of manual and automated controls. The role also supports audit risk assessments, documents audit work, communicates control deficiencies, and delivers audit findings through reports and exit conferences.
Key Responsibilities
- Conduct integrated operational, compliance, financial audits and Sarbanes-Oxley (SOX) testing of manual and automated controls
- Develop understanding of exchange and clearing operations
- Assist with audit risk assessments
- Perform audit assignments within time frames and budgets
- Draft or review audit reports and conduct exit conferences
Technical Overview
The role includes a preferred data analytics component—developing and modifying general computer audit applications, using SQL and database schema knowledge, and leveraging programming languages such as Python, VBA, or JAVA to automate and improve audit routines. It also includes using Microsoft Word, Excel, and PowerPoint to produce audit documentation and reporting.
Ideal Candidate
The ideal candidate is a senior internal auditor with 3+ years of internal audit (or equivalent) experience, including Sarbanes-Oxley (SOX) testing of manual and automated controls. They communicate audit findings clearly, can manage multiple assignments within timelines, and bring data analytics strengths using tools like SQL and a programming language such as Python, VBA, or JAVA.
Must-Have Skills
Sarbanes-Oxley (SOX) testing of manual and automated controlsConduct integrated operationalcompliancefinancial auditsConduct audit risk assessmentsComplete audit assignments within established time frames and budgetsDocument audit procedures performed in accordance with departmental standardsCommunicate control deficiencies to management effectivelyDraft or review audit reports and conduct exit conferencesMaintain effective relationships with internal and external contactsBachelor's degree or higher required3+ years in internal audit or equivalent experienceProficient in WordExceland PowerPointAbility to travel 15-25 percent; including international
Nice-to-Have Skills
Data analyticsDevelopcreateand modify general computer audit applications software or specialized utility programsDesign software or customize software for client use with the aim of optimizing operational efficiencyAutomate portions of annual regulatory auditsCreate Technical and user guide documentation for all Audit routinesProgramming language such as PythonProgramming language such as VBAProgramming language such as JAVAPractical experience with SQLUnderstanding of database schemasKnowledge of financial services industryexchange servicesfutures clearing merchantsclearing organizationsor energy or commodities trading
Tools & Platforms
Microsoft WordMicrosoft ExcelMicrosoft PowerPoint
Required Skills
Sarbanes-Oxley (SOX)internal auditaudit risk assessmentsaudit documentationcontrol deficienciesaudit reportsexit conferencesdata analyticsSQLPythonVBAJAVAMicrosoft WordMicrosoft ExcelMicrosoft PowerPoint
Hard Skills
Sarbanes-Oxley (SOX)Audit risk assessmentsInternal auditOperational auditsCompliance auditsFinancial auditsControl deficienciesAudit documentationAudit reportsExit conferencesData analyticsGeneral computer audit applicationsSQLDatabase schemasPythonVBAJAVAMicrosoft WordMicrosoft ExcelMicrosoft PowerPointInformation technology (IT) functionsGeneral business and information technology auditsAnnual regulatory auditsAutomationTechnical and user guide documentationExchange and clearing operationsFutures clearing merchantsClearing organizationsEnergy or commodities trading
Soft Skills
Excellent communicationOrganizationTime managementAttention to detailAbility to perform multiple projects simultaneouslyAdaptabilityMaintain effective relationshipsDraft or review audit reportsCommunicate identified control deficiencies to management effectivelyConduct exit conferences with management
Certifications
Preferred
CIA - Certified Internal AuditorCPA - Certified Public AccountantCFE - Certified Fraud ExaminerCISA - Certified Information Systems Auditor
Keywords for Your Resume
Senior Internal AuditorInternal Auditorinternal auditSarbanes-Oxley (SOX)SOX testingmanual and automated controlsaudit risk assessmentsaudit assignmentsaudit documentationcontrol deficienciesaudit reportsexit conferencesdata analyticsgeneral computer audit applicationsspecialized utility programsPythonVBAJAVASQLdatabase schemasMicrosoft WordMicrosoft ExcelMicrosoft PowerPointfinancial services industryexchange and clearing operationsfutures clearing merchantsclearing organizationsenergy or commodities tradingtravel 15-25 percentinternational travelSarbanes Oxley
Deal Breakers
Bachelor's degree or higher required, 3+ years in internal audit or equivalent experience, Proficient in Word, Excel, and PowerPoint, Ability to travel 15-25 percent; including international
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