Job Summary

Under general supervision, the Internal Auditor I performs operational, financial, and compliance audits of various internal departments to evaluate the adequacy and effectiveness of the organization's governance, risk management process, system of internal control, and quality of performance in carrying out assigned responsibilities in order to achieve the organization's stated goals and objectives. The Auditor I assists in drafting audit plans and performs testing, document preparation and research and works under the close supervision of the Manager and/or of Senior members of the department.

Essential Duties and Responsibilities

• Collect and analyze data to detect deficient controls, duplicated effort, extravagance, fraud, or noncompliance with laws, regulations, and management policies.
• Inspect records, documents, and systems for efficiency, effectiveness, and use of accepted procedures.
• Examine records and interviews Company personnel to ensure proper recording of transactions and compliance with laws and regulations.
• Examine and evaluate financial and information systems, recommending controls to ensure system reliability and data integrity.
• Examine the systems and processes established by the organization to ensure compliance with policies, procedures, laws, and regulations that could have a significant impact on operations and reports and whether the organization is in compliance.
• Examine the accuracy, reliability, timeliness, and integrity of financial and operating information and the means used to identify, measure, classify, and report such information.
• Document audit test results consistent with professional requirements.
• Report audit results to senior members of the audit group and/or the Manager and recommend changes in or improvements to operations and financial activities.
• Assist with drafting detailed reports on audit findings.

Qualifications

• Strong analytical skills and critical thinking with the ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
• Ability to identify complex problems and reviewing related information to develop and evaluate options and implement solutions.
• Demonstrated understanding of basic risk and internal control concepts.
• Knowledge of finance and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
• Effective verbal and written communication skills.

Education and Experience

• Minimum Required: Bachelor's degree in accounting finance, business administration or related field.
• Experience in internal audit, accounting, regulatory, or related business experience

Systems & Technology

• Proficient in Microsoft Outlook and Microsoft Suite, including but not limited to Word, Excel, and PowerPoint.

Stifel is a more than 130 years old and still thinking like a start-up. We are a global wealth management and investment banking firm serious about innovation and fresh ideas. Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success – and 26 years of continual growth – is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations. Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more. Let’s talk about how you can find your place here at Stifel, where success meets success.