Email resumes directly to Internal Auditor – Long Term Contract – Los Angeles, CA Assisting Project in charge with testing, issue reporting and other audit process duties for the following business lines Investment Advisory Operations Testing may pertain to the following processes Wire Transfers New Accounts Set-up Proxy Voting Trade order processing Basic Anti-Money Laundering Compliance such as OFAC screening and know your client profiling Investment Advisory Act Compliance Custodial Reconciliations and Fee Billing General IT Controls Third Party Outsourcing Personal Trust Account Administration and Operation Testing may pertain to the following processes Personal Trust Administration Files for compliance with governing instruments and duties of trustee Shadow Accounting and CashSuspenseOperating Accounts Reconciliations Fiduciary Tax Reporting Third Party Outsourcing OCC Heightened Standards Requirements Bank BrokerDealer Operations, Compliance and Sales Practices Testing may pertain to the following processes Wire Transfer and cash movement client request processing Brokerdealer sales practices compliance requirements OCC Heightened Standards Requirements Supervisory Review practices Compliance Oversight Requirements Third Party Outsourcing General Information Technology controls Basic Requirements Internal Auditing (must) Good verbal and written communication and presentation skills (must) Analytical Thinker (Nice to Have) Computer Literacy, Data Analytics and spreadsheets (must) Must possess one or more of the below skills Knowledge of Investment Advisory, Personal Trust and brokerdealer Business Familiarity with fiduciarytrustee requirements and the different types of trusts, Revocable vs. Irrevocable, Court Supervised Trusts (Special Needs Trusts, Settlement Trusts) and can readily identify the governing document for the account. Familiarity with OCC 12CFR9 regulations Understanding of BSAAML requirements, Know Your Customer, OFAC CIP CDD Familiarity with Investment Advisory Act requirements Familiarity with FINRA regulatory requirements Familiarity with OCC Heightened Standards Requirements Familiarity with Third Party Outsourcing risks and control requirements Familiarity with general Information Technology controls