MEMX is searching for an Internal Audit Associate to join the Legal & Compliance Team and conduct internal audits to evaluate the effectiveness of system controls and operational processes.
MEMX currently has a U.S. presence in these states: California, Colorado, Connecticut, Delaware, Florida, Georgia, Illinois, Kansas, Maine, Maryland, Michigan, Nevada, New Jersey, New York, North Carolina, Pennsylvania, South Carolina, & Utah.
*If you live outside of the above states, please list in your application and our team will evaluate.
What You’ll Do
- Liaise and collaborate with external auditors to facilitate annual Regulation SCI Review, SOC 2 Type II and other audits
- Assess the Company’s compliance with applicable laws, regulations and company policies
- Evaluate internal control systems and ensure adherence to applicable laws and regulations
- Prepare and present audit reports and audit metrics to management and Audit Committee
- Provide management with reporting on audit recommendations and metrics
- Give independent and objective assessments of the Company’s operations and internal controls
- Plan and execute audit engagements, including analysis and testing
- Monitor the implementation of audit recommendations and findings from regulatory examinations
- Keep current with internal audit best practices
Requirements
- Bachelor’s degree in finance, accounting or a related field
- 5 or more years of experience in internal auditing or related role
- Experience conducting IT audits is preferred
- Proficiency in preparing audit reports
- Ability to work independently
- Professional certification, such as CIA (Certified Internal Auditor) is preferred
Benefits
At MEMX you will have the ability to work with a talented team of professionals who bring diversity of thought and background. You will have the opportunity to shape the future of our company and the impact MEMX will have on our clients and the broader markets. We offer competitive employee benefits and perks and will continue to make this a priority to attract the best.
- Work From Home
- Health Care Plan (Medical, Dental & Vision)
- Retirement Plan (401k)
- Life Insurance (Basic, Voluntary & AD&D)
- Unlimited Paid Time Off
- Generous Paid Family Leave
- Short Term & Long-Term Disability
- Training & Development
- Wellness Resources
Pay Range: $110,000 to $140,000
*Pay ranges are a general guideline only and not a guarantee of compensation. Compensation may vary depending on a number of factors, including a candidate’s qualifications, skills, competencies and experience, and location.
Equal Opportunity Statement
MEMX is an equal opportunity employer. We are committed to creating a diverse and inclusive environment for all employees. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status.
Diversity Inclusion Statement
At MEMX, we believe that diversity and inclusion are essential to driving innovation and success. We welcome and celebrate individuals from all backgrounds and perspectives, and we strive to create an inclusive culture where everyone can thrive.
Skills Required
- Bachelor's degree in finance, accounting or a related field
- 5 or more years of experience in internal auditing or related role
- Experience conducting IT audits
- Proficiency in preparing audit reports
- Ability to work independently
- Professional certification such as CIA (Certified Internal Auditor)
What We Do
Members Exchange's (MEMX) mission is to increase competition, improve operational transparency, reduce fixed costs, and simplify the execution of equity trading in the U.S. The founding members of MEMX are many of the largest U.S. retail broker-dealers, global banks, financial services firms and global market makers: Bank of America Merrill Lynch, Charles Schwab, Citadel Securities, E*TRADE, Fidelity Investments, Morgan Stanley, TD Ameritrade, UBS, and Virtu Financial
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