Internal Audit Associate Wealth & Asset Management
Location: Remote (Canada)
Level: Associate / Senior Associate
Job Type: Contract
The Opportunity
We're looking for an Internal Audit Associate to join a growing audit function supporting a large financial services organization's wealth management operations. This role focuses on surveillance testing, quality assurance reviews, and controls evaluation within a highly regulated, fast-paced environment. It's a great opportunity for someone who enjoys hands-on testing work and wants exposure to a large-scale financial services audit program.
What You'll Contribute
- Execute testing procedures in support of ongoing internal audit engagements
- Review and assess trade surveillance alerts, including quality assurance checks
- Evaluate aged alerts and track related remediation activity
- Perform daily trade blotter reviews and associated QA procedures
- Conduct detection and investigative research reviews
- Assess policies, procedures, and control documentation for design and effectiveness
- Review user access and system security controls
- Test security deposit and transfer activity within CRM systems
- Document results, observations, and workpapers in line with audit standards
- Communicate status and findings to engagement leadership
Background We're Seeking
- Experience in internal audit, compliance, risk, or regulatory testing
- Background within wealth management, investment management, brokerage, or capital markets
- Solid understanding of internal controls, risk assessment, and audit methodology
- Comfortable analyzing data, spotting exceptions, and communicating findings clearly
- Strong written and verbal communication skills
- Able to work independently and manage multiple priorities
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