Senior Internal Auditor

The role:

SoFi is seeking a Senior Auditor to join the SoFi Internal Audit Department, reporting to one of the team’s Senior Directors. You will be conducting audits and reviews of various areas related to SoFi and its subsidiaries with a focus on SoFi Invest, Galileo Financial Technologies, and enterprise risk management functions. This is a hands-on audit role with primary responsibility for executing audit work programs, identifying, drafting, and communicating audit issues, and on-going issue follow up and remediation. You will also assist in performing audit risk assessments and developing audit objectives and procedures. 

What you’ll do: 

• Assist the Internal Audit team in accomplishing audit department objectives in a team environment.

• Coach more junior staff team members on audit methodology, technical audit expectations, and client management 

• In accordance with departmental and professional internal audit standards, identify and analyze risks, plan and prioritize audit work, conduct interviews, observe operations, document and analyze procedures and controls, perform audit tests, prepare appropriate workpapers, develop audit recommendations, review identified issues with appropriate management, and prepare audit report findings.

• Assist in developing formal written reports to communicate audit results to management and other stakeholders.

• Continuously seek opportunities for audit process improvement.

• Work on multiple priorities / projects simultaneously while meeting deadlines.

• Utilize data analytics and tools in execution of audit work.

• Continue to develop and expand knowledge of the audit profession, financial and technology industry, and products through self-study, research, and continuing education efforts.

• Execute special assignments and other duties as assigned.

• Some travel may be required.

What you’ll need:

• Strong critical thinking skills

• Great interpersonal and communication skills

• Minimum of 3 to 6 years of external audit, internal audit, or related experience working in a financial institution (and/or fintech) with knowledge of broker dealer operations and related regulatory requirements (FINRA, SEC, etc.). 

• Professional certification(s) or related licensure preferred (CIA, FINRA licensure – Series 7, 63, 24, 4, etc.).

• Detailed knowledge of the B2B business model

• Understanding of internal control concepts, internal auditing standards, risk assessment practices, COSO three lines of defense, etc.  

• Experience with audit engagement planning, executing, and reporting is a plus. 

• Ability to work independently with limited daily supervision while meeting deadlines. 

• Ability to navigate through ambiguity, manage and coordinate multiple project assignments simultaneously, accept ownership and accountability for projects, and deliver on commitments.

• Strong written and verbal communication skills, and experience preparing audit workpapers, reports, and presentations.

• Experience improving the effectiveness and efficiency of audit activities through innovation.

Nice to haves:

• Data analysis competency using data mining and visualization techniques (Alteryx, Tableau, SAS, SQL, R, Python).

• Bachelor's or equivalent in accounting, economics, finance, information systems or related fields.

• Experience in product and/or product risk