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EQ is a leading international provider of shareholder, pension, remediation and credit technology. With over 5,000 employees, it supports 37 million people in 120 countries. EQ's purpose is to care for every customer and simplify every transaction, delivered with less of an impact on the environment. In December 2021 EQ formally moved into private ownership by affiliates of Siris Group Capital, LLC.

EQ US is a leading provider of ownership data management, analytics and advisory services to public and private companies as well as corporate issuers and mutual funds. EQ offers a comprehensive product set, including transfer agency services, cap table management, equity compensation services, proxy solicitation and advisory services, private company solutions and bankruptcy claims administration services. Affiliates include, D.F. King and Co., Inc., Astrella Private Company Solutions, Inc., and Donlin, Recano & Company, Inc. Learn more at:

Role Summary

EQ is looking for an Operational Auditor with Financial Industry Experience to help execute internal audits as part of the U.S. internal audit function and audit plan. The candidate must be collaborative with a team, participate in engaging with auditees, and contribute to risk and control analysis and audit project management including planning, leading meetings, process walkthroughs, testing execution, reporting and issues management.

Preferred designations - CIA, CPA, CFE

*This is NOT an IT Audit position*

Core Duties/Responsibilities

The successful candidate will be responsible for the following:

• Support all phases of an audit from planning, scoping, test execution to reporting, and produce quality deliverables to both department and professional standards
• Finalize audit findings supported by facts and professional judgment to provide an overall opinion on the effectiveness of key controls
• Communicate audit findings to the IA team and management and identify opportunities for improvement in the design and effectiveness of key controls and provide independent feedback and recommendations on strengthening controls and enhancements based on stakeholder priorities
• Build and maintain relationships with management and auditees, establish a culture of engagement, transparency and adding value
• Drive a culture of innovation through automation of controls testing to enhance audit coverage
• Participate in multiple departmental initiatives and working groups to enhance or provide efficiencies in audit coverage on existing areas as well as emerging topics
• Participate in a program of continuous monitoring for assigned areas, including monitoring of key metrics to identify control issues and adverse trends
• Effectively execute testing procedures with a solid understanding of the test objective and prepare quality workpapers to support the audit work performed.
• Manage up by providing honest and constructive feedback to proactively manage performance and expectations
• Stay up to date with evolving industry and regulatory changes impacting the Company

Skills, Capabilities and Attributes

The successful candidate will demonstrate the following experience, skills and behaviors:

• BA/BS degree in Accounting, Finance, Business or Computer Science or equivalent focus preferred
• Industry experience in internal audit function or Big 4 background equivalent preferred
• Audit relevant certification or is working towards one preferred (CPA, CIA, CISA or CFE)
• Understanding of Internal Audit Standards, COSO, including auditing processes and methodologies and working knowledge of and working knowledge of FDIC, FFIEC and other regulatory and industry frameworks
• 3+ years of experience in an auditing capacity
• Knowledge and experience in the Financial Services industry preferred; understanding of transfer agent services preferred, but not required.

Compensation

• $85,000-90,000 per year

About You

• Proficient experience with internal audit methodology and applying concepts in audit delivery and execution
• Solid understanding of internal control concepts with the ability to evaluate and determine the adequacy of controls in design and effectiveness
• Prepare and participate in meetings with an understanding of the auditing business processes and functional areas including key processes like revenue cycles, corporate reconciliations, risk management. Ideally transfer agent and equity plan business knowledge is preferred but not required
• Demonstrate professional scepticism, problem solving and analytical skills particularly in regard to assessing the impact of a control weakness and root cause
• Excellent verbal and written communication skills, with the ability to present audit issues to senior management
• The ability to work effectively within a team, both locally and globally, share information, support colleagues and encourage participation
• Demonstrate a growth mindset, self-motivated, effective under pressure, and willing to take personal responsibility/accountability, and be agile under fluid conditions
• Ability to build strong relationships with key stakeholders, curious, desire to learn quickly, be flexible and results-driven
• Proven ability to multitask and deliver effectively under pressure, as well as the ability to assess and adapt to changing priorities.

Equal Opportunity Statement

We are an equal opportunity employer and make employment decisions without regard to race, creed, religion, national origin, sex (including pregnancy, gender identity, and sexual orientation), parental status, marital status, national origin, age, disability, family medical history or genetic information, political affiliation, military service, status with regard to public assistance, or any other characteristic protected under federal, state, or applicable local law.