at Mesirow Financial in Chicago, Illinois, United States
Job Description
Description
The Company:
Mesirow is an independent, employee-owned financial services firm founded in 1937. Headquartered in Chicago, with offices around the world, Mesirow serves clients through capabilities spanning Global Investment Management, Capital Markets and Investment Banking, and Advisory Services. We are proud that our intentional culture results in strong employee engagement, entrepreneurship and empowerment, with ongoing opportunities for volunteerism and advancement. Mesirow is one of the few employers to be named in both the Chicago Tribune’s Top Places to Work and Crain’s Best Places to Work in Chicago. At Mesirow, we invest in what matters: our clients, our communities, and our culture.
The Opportunity:
We are currently seeking a Senior Internal Auditor to join our Corporate- Legal/Compliance team. Qualified candidates will possess 6-10 years of audit experience. This person will be responsible for interfacing with various business units to conduct internal audits, branch office reviews, and other responsibilities as needed.
Internal audits performed include regulatory compliance audits of Mesirow’s investment management and broker/dealer divisions that focus on compliance with the SEC’s Investment Advisor Rule and FINRA’s Supervision Rules, as well as other regulatory requirements.
Responsibilities:
+ Conduct risk-based audits of business units within the firm’s investment management, broker/dealer, and corporate services divisions under the direction of the Internal Audit Director.
+ Communicate audit results and recommendations to management that encourage corrective action to address any control weaknesses noted.
+ Assist with routine follow-up on outstanding audit issues.
+ Review various reports and dashboards to monitor developments within the business units throughout the year.
+ Complete special investigations as directed by executive management and the Audit Committee.
+ Assist external auditors and regulators.
Requirements:
+ 6-10 years of audit experience within non-bank financial services companies. Experience within the investment management and/or securities brokerage industries required.
+ Bachelor’s degree in Accounting, Finance, or related field.
+ Proficiency in Microsoft Excel and Word.
+ Excellent organizational skills, written and verbal communication skills; and ability to advocate position effectively.
+ Should enjoy working independently with minimal assistance.
EOE
