Internal Audit Associate III

Job Description How will this role impact First Command? Reporting to the Director of Internal Audit, the Internal Audit Associate III is accountable for leading assigned fieldwork activities and completing testing and workpaper documentation related to internal audits across First Command. The Internal Audit Associate III works under the direction of the Audit Director or engagement leader and helps coordinate day-to-day fieldwork execution, including walkthroughs, testing, exception validation, document requests, follow-up, and timely communication of fieldwork status and preliminary results. This role works with employees and management at all levels, supports timely remediation of audit issues, and maintains objectivity, professionalism, and sound judgment while preserving a clear distinction between leading fieldwork activities and owning the full audit lifecycle. What will the employee do in this role? Works with the Audit Director or engagement leader to support initial planning, research, and coordination necessary to execute assigned fieldwork and complete audit proceduresLeverages prior audit results, work papers, external research, data, and working knowledge of applicable regulations to support the execution of audit procedures and recommend adjustments when processes or regulatory requirements changeLeads or facilitates walkthroughs, interviews, status discussions, fieldwork meetings, and other audit-related discussions with business process owners and management, taking detailed notes to capture relevant process, risk, and control information necessary to develop and execute audit procedures.Coordinates, leads, and performs fieldwork execution for assigned audit areas, including testing, follow-up, status tracking, and timely completion of assigned audit program stepsIdentifies necessary system access, reports, and data sources needed to obtain complete and accurate populations for assigned audit testingAssesses and analyzes large, complex data sets to evaluate population completeness and accuracy and support appropriate sample selectionPrepares, manages, and follows up on document requests to support accurate and timely completion by management and maintain fieldwork momentumIdentifies, analyzes, and validates potential exceptions, socializes initial results timely, and escalates unresolved matters to the Audit Director or engagement leader for dispositionCommunicates fieldwork status, delays, risks, potential issues, and preliminary results during status meetings, close meetings, and other fieldwork discussionsDocuments work papers thoroughly, clearly, and concisely to support conclusions and allow for efficient review by the Audit Director or engagement leaderMonitors and reviews the status of assigned audit procedures to ensure fieldwork tasks, priorities, and deadlines remain on track and issues are escalated timelyAssists with the administration, validation, documentation, and status reporting of management action plans from completed auditsInterfaces with all levels of the organization and builds professional relationships that support trust, transparency, and objectivity in the Internal Audit process What roles will this employee lead? This role does not have direct people-management responsibilities but may provide day-to-day guidance, coaching, and review support to less experienced auditors during fieldwork. What skills & qualifications do you need? Education Bachelor's degree in Finance, Accounting or a related field preferred Work Experience At least 4-7 years of internal audit, external audit, risk, compliance, or related control experience requiredExperience executing fieldwork activities for assigned audit areas, including coordinating audit requests, validating exceptions, and preparing work papers in accordance with audit methodologyBroker Dealer (BD), Registered Investment Advisor (RIA), Banking, or SEC/FINRA/OCC regulated environment experience required Certifications Audit-related certification preferred, but not required (i.e., CFE, CIA, CPA, CISA)FINRA licenses preferred, but not required (i.e., Series 99, 6, 7, 24 or SIE) Required Knowledge, Skills And Abilities Demonstrated ability to lead fieldwork activities with limited day-to-day supervision while escalating risks, delays, and potential observations timelyStrong understanding of audit methodology, risk and control concepts, testing approaches, evidence evaluation, and work paper standardsMust be proactive and work with a sense of urgencyMust demonstrate strong work ethic and desire to get the job doneSelf-motivated to provide high-quality work and meet deadlinesMust be able to form relationships without compromising objectivity of audit conclusionsExceptional interpersonal skills, including written and oral communications, listening, and fostering open communicationsAbsolute commitment to timely delivery of quality service and work productMust use sound judgment when handling confidential and/or sensitive informationHigh level of competency in computer skills including data analysis, analytical tools, and the Microsoft Office SuiteAbility to quickly learn new systems necessary for completing audits