Senior Internal Auditor
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We’re a next-generation fintech company using innovative, mobile-first technology to help our millions of members reach their goals. The industry is going through an unprecedented transformation, and we’re at the forefront. We’re proud to come to work every day knowing that what we do has a direct impact on people’s lives, with our core values guiding us every step of the way. Join us to invest in yourself, your career, and the financial world.
SoFi is seeking a Senior Auditor to join the SoFi Internal Audit Department, reporting to the Director. In this role, you will be responsible for conducting audits and reviews of various areas related to SoFi and its subsidiaries with a focus on Accounting, Finance and Compliance functions. This is a hands-on audit role with primary responsibility for executing audit work programs, identifying, drafting, and communicating audit issues, and ongoing issue follow-up and remediation. You will also assist in performing audit risk assessments and developing audit objectives and procedures.
What you’ll do:
- Assist the Internal Audit team in accomplishing audit department objectives in a team environment.
- Coach more junior staff team members on audit methodology, technical audit expectations, and client management
- In accordance with departmental and professional internal audit standards, identify and analyze risks, plan and prioritize audit work, conduct interviews, observe operations, document and analyze procedures and controls, perform audit tests, prepare appropriate workpapers, develop audit recommendations, review identified issues with appropriate management, and prepare audit report findings.
- Assist in developing formal written reports to communicate audit results to management and other stakeholders.
- Continuously seek opportunities for audit process improvement.
- Work on multiple priorities/projects simultaneously while meeting deadlines.
- Utilize data analytics and tools in the execution of audit work.
- Continue to develop and expand knowledge of the audit profession, financial and technology industry, and products through self-study, research, and continuing education efforts.
- Execute special assignments and other duties as assigned.
- Some travel may be required.
What you’ll need:
- Strong critical thinking skills
- Great interpersonal and communication skills
- Minimum of 3 to 6 years of external audit, internal audit, or related experience working in a financial institution (and/or fintech) with knowledge of broker-dealer operations and related regulatory requirements (FINRA, SEC, etc.).
- Professional certification(s) or related licensure preferred (CRCM, CPA, CIA, FINRA licensure – Series 7, 63, 24, 4, etc.).
- Understanding of internal control concepts, internal auditing standards, risk assessment practices, COSO three lines of defense, etc.
- Experience with audit engagement planning, executing, and reporting is a plus.
- Ability to work independently with limited daily supervision while meeting deadlines.
- Ability to navigate through ambiguity, manage and coordinate multiple project assignments simultaneously, accept ownership and accountability for projects, and deliver on commitments.
- Strong written and verbal communication skills, and experience preparing audit workpapers, reports, and presentations.
- Experience improving the effectiveness and efficiency of audit activities through innovation.
Nice to have:
- Data analysis competency using data mining and visualization techniques (Alteryx, Tableau, SAS, SQL, R, Python).
- Bachelor's or equivalent in accounting, economics, finance, information systems or related fields.
- Experience in product and/or product risk