Description
AppleOne is proud to present:
We are seeking a REMOTE Risk and Control Auditor located in (PST) with 3-5 years of experience to join our Wealth Management – Broker-Dealer and Fiduciary Trust team. The ideal candidate will have expertise in controls testing, compliance risks, RCSA (Risk and Control Self-Assessment), and familiarity with OCC Regulations. Banking experience, especially in wealth management and fiduciary services, is highly preferred.
In this role, you will assess the effectiveness of internal controls, ensure compliance with regulations, and perform risk assessments to support the firm’s overall risk management framework. You will collaborate with business leaders to identify control gaps, recommend improvements, and ensure risks are mitigated. Your responsibilities will include testing internal controls, executing RCSA, reviewing OCC regulations, and providing audit findings and recommendations.
Qualified candidates should have experience in risk and control auditing, with strong knowledge of internal controls, RCSA, and compliance regulations. Banking experience in wealth management or fiduciary services is a plus. A Bachelor’s degree in accounting, finance, business, or a related field is required. This role offers the opportunity to make a significant impact within a reputable financial institution.
EEO/AA Employer/Vet/Disabled.
The Know Your Rights poster is available here:
https://www.eeoc.gov/sites/default/files/2023-06/22-088_EEOC_KnowYourRights6.12.pdf
The pay transparency policy is available here:
https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp_%20English_formattedESQA508c.pdf
For temporary assignments lasting 13 weeks or longer, the Company is pleased to offer major medical, dental, vision, 401k and any statutory sick pay where required.
We are committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation for any part of the employment process, please contact your staffing representative who will reach out to our HR team.
AppleOne participates in the E-Verify program in certain locations as required by law. Learn more about the E-Verify program.
https://e-verify.uscis.gov/web/media/resourcesContents/E-Verify_Participation_Poster_ES.pdf
We also consider qualified applicants regardless of criminal histories, consistent with legal requirements. Pursuant to applicable state and municipal Fair Chance Laws and Ordinances, we will consider for employment-qualified applicants with arrest and conviction records. For Los Angeles, CA applicants: Qualified applications with arrest or conviction records will be considered for employment in accordance with the Los Angeles County Fair Chance Ordinance for Employers and the California Fair Chance Act.
#8824
Experienced (Non-Manager)