We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client’s goals with passion and integrity. We respect and appreciate the diversity of our employees, our clients, and the communities we serve. We challenge conventions strategically to create value for our clients, our firm and the world. We live and bring to life the concept of ‘own your tomorrow’ every day. We champion our employee strengths, guide their development, and invest in their long-term success. We hire optimistic, results-oriented, curious, innovative, and adaptable people with the desire to help our clients and one another succeed.
As a company, we were established byChuckover 40 years ago to champion Main Street over Wall Street, and to help Americans transform themselves from earners to owners. Through advocacy and innovation, we work to make investing more affordable, accessible and understandable for all. As we enter our fifth decade, we are looking for talented, innovative and driven people who believe they can help themselves, and our clients, create a better future.
The Sr. Staff Business Process Analyst will work with the Advisor Service Technology (AST) teams along with the Risk and Audit teams to develop and execute on the organizations program to manage engagement and findings actions. In addition, assist in documenting and explaining the audit process and scope, keeping management apprised of audit progress and issues, and effectively complete audits. Stay up to date on company audit process and tie in business and technology strategies to ensure relevancy of audit process and delivery approach. Work withdevelopers to modernize and consolidate our controls and procedures across the organization
What you’ll do:
- The Sr. Staff Business Process Analyst has responsibility for the development and execution of the AST security program.
- Consolidate and modernize our development security controls across the organization.
- Create metrics and reporting capabilities
- Drive efficiencies through well documented processes and procedures that be leveraged across audits, security assessments etc.
- Liaising with and the auditors/regulators.
- Guide teams to accurately scope and execute integrated audits focused on the most meaningful and relevant risks.
- Continuously monitor for changes in the business that may affect the risk environment and, therefore, require possible changes to the risk assessment, audit plan or to the scope of planned audits.
- Ensure the execution of the audit plan reflects the annual Audit Response Programs and provides sufficient basis for providing an annual opinion for each critical risk process/function.
- Maintain business relationships with appropriate levels of management ensuring Internal Audit is aware of key changes to business activities and objectives for appropriate response.
- Address issues during the integrated internal audit process by gathering facts, developing potential solutions, determining the best solutions, and implementing an action plan to solve the problem.
- Evaluate the adequacy and timeliness of management's response and the corrective action taken on all significant weaknesses noted in the report.
What you have:
- BS in Business Administration, or equivalent work experience
- Assist in the development of policies and procedures
- Follow all established standards, development and testing methodologies
- Able to work with individuals with eclectic backgrounds ranging from operations, engineering, applications and business.
- 5+years of internal auditexperience with increasing responsibility. Financial services experience a plus.
- Ability to lead a project team and cultivate a strong working relationship with external co-sourcing provider, regulators, and internal lines of businesses.
What you’ll get:
- Comprehensive Compensation and Benefits package
- Financial Health: 401k Match, Employee Stock Purchase Plan, Employee Discounts, Personalized advice, Brokerage discounts
- Work/Life Balance: Sabbatical, Paid Parental Leave, New Mothers returning to work Program, Tuition Reimbursement Programs, Time off to volunteer, Employee Matching Gifts Program
- Everyday Wellness: Health and Lifestyle Wellness Rewards, Onsite Fitness Classes, Healthy Food Choices, Wellness Champions
- Inclusion: Employee Resource Groups, Commitment to diversity, Strategic partnerships
- Not just a job, but a career, with an opportunity to do the best work of your life