Audit & Risk
Our expertise is your opportunity.
O | Audit & Risk Recruiting Verticals:
- Operational audits, financial audits (SoX / financial controls), fraud investigations. Investing a couple of years doing operational & financial audit projects can be a great way to learn the business infrastructure; thus earning the opportunity to move to almost any team in the company!
- Many companies offer this path as a “feeder program” to recruit public accounting professionals making the switch to the corporate side
Internal Audit career track success advice:
Risk – global risk assessment projects (each industry is very unique)
- Performing risk investigations and analyses and provide status updates to executive management and business partners
- Drawing conclusions and communicating insights based on multiple data sets and behavior
- Providing detailed summaries of actions taken and rationale
- Liaising with account holders and enterprise clients as needed
FINRA Compliance positions typically fall under the CCO (Chief Compliance Officer) umbrella. FINRA Licenses: Series 4 (Registered Options Principal Exam), Series 7 (General Securities Representative Exam), Series 24 (General Securities Principal Exam), and Series 65 (Uniform Investment Adviser Law Exam) or 66 (Uniform Combined State Law Exam) are a preferred qualification for this career track. Additional information on the above FINRA exams (Duration, # of questions, costs) can be found here.
- Conducting surveillance and monitor trading activities in accordance with industry rules and firm policies.
- Reviewing advertising materials, including websites for BD and RIA to ensure compliance with FINRA, SEC, and state regulatory requirements
- Review and approve new customer investment accounts & 3rd party management agreements
IT Audit – corporate IT Audit professional perform technology, cyber-security, and compliance audits in the areas of design, efficiency and effectiveness of IT internal controls. Responsibilities:
- Auditing technology controls across various divisions associated with Information Security Governance and Operations, Incident Response, Identity & Access Management, Data Privacy, Application Vulnerability Management, etc.
- Assisting in the development of the annual plan including linking strategic initiatives of the Company to key audit and technology risks.
- Plan, conduct and supervise engagements with a focus on analysis and assessment of the control environment associated with the technology, operational and compliance processes of the Company
- Perform a regular, periodic follow-up on significant IT audit findings and recommendations to evaluate the adequacy of corrective actions
- Investigate and research technology issues and risks
- IT SoX Controls projects
Helpful Designations & Resources for Audit Careers:
- Internal Audit Career Paths (into Business Operations) – myths of Internal Audit and what its all about.
a. Certified Internal Auditor (CIA) – this is a very valuable certification for internal audit professionals in the Boston market. It is typically required for any position at Manager level or above. How to become a Certified Internal Auditor – CIA (step-by-step process).
b. Certified Fraud Examiner (CFE)
c. Certified Public Accountant (CPA)
d. Certified Information Systems Auditor (CISA) – quickly becoming a must-have certification in Massachusetts due to technology’s ever expanding use in every operational & financial process. Getting a CISA will great help your career progression in internal audit. (even if you are not a part of very technical IT Audit projects)
e. Certified Government Auditing Professional (CGAP)
Feedback on value of CISA
O | Representative Direct Hire Internal Audit / Risk / Compliance Searches:
Internal Audit Analyst, Risk Analyst, Senior Internal Auditor, Senior Global Risk Analyst, Internal Audit Manager, Risk Manager, SOX Controls Manager, Compliance Manager, Senior Manager of Internal Audit, IA Director, Vice President (VP) of Audit & Risk
Interview Preparation Material (Enterprise Risk & Global Internal Audit)
7-Step Origin Staffing Candidate Process
Results are achieved by understanding the “why”. Details matter. Let’s partner up & get it done.
- Introductory Call / Meeting
- Resume Strategy
- Determining search parameters
- Origin Staffing will only show you opportunities within set parameters. We always present the whole story behind the openings – including describing the company’s business infrastructure / future growth plans, reason for opening, team structure, general compensation & benefits info, job description and most importantly any specific color on the opportunity directly from the hiring manager.
- We NEVER send your resume to any companies until we receive your permission – “Green light with interest to pursue”
- Every company has a different interview process – some just want to get to know you, some will grill you on a technical level, some expect you to know specifics about them, some have deal breaker parameters not shown on the job description. This is only on a company level. Then each interviewer has their own style.
- We’ll prep you to help navigate this minefield, and make sure you make a great 1st, 2nd and sometimes 3rd impression.
- On the other side – most interviews are very informational in nature – hence we’ll help you fine-tune the appropriate questions to ask (and sometimes most importantly to avoid) to get the information necessary to make the right decision @ the end of an interview process.
- This happens early in the process, in the middle of interviewing, and at the “decision step”. Origin Staffing is incentivized to make sure you are excited about an offer package.
- References, Giving Notice, Background Checks, taking time off in between positions, making the right 1st impression with the new company. All of these steps can be tricky to navigate – we’ll be there by your side offering support & guidance.
- Over 80% of our business is from referrals – we’d love to stay in touch long term & be your “Go To” recruiting agency in Boston for the remainder of your career. Your professional interests will evolve over the years and we’ll be there to support you.
- Additionally, as you progress your career and have direct reports to hire, we’ll be there to fill out your team with top talent.