Senior Associate – Internal Audit (Compliance Focus | Global Banks)
RSM US LLP, New York, NY, United States
Senior Associate – Internal Audit (Compliance Focus | Global Banks)
Role Overview
We are seeking Senior Associate–level Internal Audit resources to support compliance‑focused audit activities within a large, global banking environment. This role is execution‑oriented, with a primary focus on compliance testing, control assessments, and audit fieldwork aligned to regulatory requirements and internal audit standards.
Key Responsibilities
Execute internal audit fieldwork with a primary focus on compliance‑related risks and controls
Perform control testing to evaluate design and operating effectiveness across compliance programs and regulated processes
Support audit planning, risk assessments, walkthroughs, sampling, and testing execution
Document workpapers and testing results in accordance with internal audit methodologies and IIA standards
Identify and clearly articulate control gaps, compliance deficiencies, and audit findings
Assist in drafting issue narratives, supporting evidence, and audit deliverables
Support follow‑up validation and remediation testing for previously identified issues
Partner with Compliance, Risk Management, and Audit stakeholders throughout the audit lifecycle
Required Qualifications
Senior Associate–level experience in Internal Audit, with a strong compliance focus
Background in financial services or global banking/broker‑dealer environments
Experience auditing compliance areas such as:
Regulatory compliance
AML / Financial Crime
Conduct Risk
Operational Risk
Working knowledge of regulatory expectations and bodies (e.g., SEC, FINRA, OCC, Federal Reserve)
Proven experience with control testing, walkthroughs, evidence evaluation, and workpaper documentation
Strong written communication skills with ability to clearly document findings
Preferred Qualifications
Internal Audit consulting or co‑sourced audit experience supporting large financial institutions
Exposure to regulatory exams, consent orders, or remediation programs
Familiarity with audit issue management and validation processes
CPA, CIA, CAMS, CFE, or similar certifications (preferred, not required)
Additional Requirements
Strong attention to detail and comfort working in highly regulated environments
Ability to manage multiple audit deliverables simultaneously
Professional presence and experience working with senior audit and compliance stakeholders
At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.
All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disorders related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.
RSM does not intend to hire entry level candidates who will require sponsorship now or in the future (i.e. F-1 visa holders). If you are a recent U.S. college or university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.
RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.
At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.
Compensation Range
$40 - $60 per hour
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Role Overview
We are seeking Senior Associate–level Internal Audit resources to support compliance‑focused audit activities within a large, global banking environment. This role is execution‑oriented, with a primary focus on compliance testing, control assessments, and audit fieldwork aligned to regulatory requirements and internal audit standards.
Key Responsibilities
Execute internal audit fieldwork with a primary focus on compliance‑related risks and controls
Perform control testing to evaluate design and operating effectiveness across compliance programs and regulated processes
Support audit planning, risk assessments, walkthroughs, sampling, and testing execution
Document workpapers and testing results in accordance with internal audit methodologies and IIA standards
Identify and clearly articulate control gaps, compliance deficiencies, and audit findings
Assist in drafting issue narratives, supporting evidence, and audit deliverables
Support follow‑up validation and remediation testing for previously identified issues
Partner with Compliance, Risk Management, and Audit stakeholders throughout the audit lifecycle
Required Qualifications
Senior Associate–level experience in Internal Audit, with a strong compliance focus
Background in financial services or global banking/broker‑dealer environments
Experience auditing compliance areas such as:
Regulatory compliance
AML / Financial Crime
Conduct Risk
Operational Risk
Working knowledge of regulatory expectations and bodies (e.g., SEC, FINRA, OCC, Federal Reserve)
Proven experience with control testing, walkthroughs, evidence evaluation, and workpaper documentation
Strong written communication skills with ability to clearly document findings
Preferred Qualifications
Internal Audit consulting or co‑sourced audit experience supporting large financial institutions
Exposure to regulatory exams, consent orders, or remediation programs
Familiarity with audit issue management and validation processes
CPA, CIA, CAMS, CFE, or similar certifications (preferred, not required)
Additional Requirements
Strong attention to detail and comfort working in highly regulated environments
Ability to manage multiple audit deliverables simultaneously
Professional presence and experience working with senior audit and compliance stakeholders
At RSM, we offer a competitive benefits and compensation package for all our people. We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients. Learn more about our total rewards at https://rsmus.com/careers/working-at-rsm/benefits.
All applicants will receive consideration for employment as RSM does not tolerate discrimination and/or harassment based on race; color; creed; sincerely held religious beliefs, practices or observances; sex (including pregnancy or disorders related to nursing); gender; sexual orientation; HIV Status; national origin; ancestry; familial or marital status; age; physical or mental disability; citizenship; political affiliation; medical condition (including family and medical leave); domestic violence victim status; past, current or prospective service in the US uniformed service; US Military/Veteran status; pre-disposing genetic characteristics or any other characteristic protected under applicable federal, state or local law.
Accommodation for applicants with disabilities is available upon request in connection with the recruitment process and/or employment/partnership. RSM is committed to providing equal opportunity and reasonable accommodation for people with disabilities. If you require a reasonable accommodation to complete an application, interview, or otherwise participate in the recruiting process, please call us at 800-274-3978 or send us an email at careers@rsmus.com.
RSM does not intend to hire entry level candidates who will require sponsorship now or in the future (i.e. F-1 visa holders). If you are a recent U.S. college or university graduate possessing 1-2 years of progressive and relevant work experience in a same or similar role to the one for which you are applying, excluding internships, you may be eligible for hire as an experienced associate.
RSM will consider for employment qualified applicants with arrest or conviction records. For those living in California or applying to a position in California, please click here for additional information.
At RSM, an employee’s pay at any point in their career is intended to reflect their experiences, performance, and skills for their current role. The salary range for this role represents numerous factors considered in the hiring decisions including, but not limited to, education, skills, work experience, certifications, location, etc. As such, pay for the successful candidate(s) could fall anywhere within the stated range.
Compensation Range
$40 - $60 per hour
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