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Staff Auditor - Internal Audit (Ladenburg Thalmann)

Securities America, Inc. La Vista, NE

Job Description

The staff auditor is responsible for performing basic internal audit and enterprise risk projects. This responsibility includes performing internal audit procedures, identifying control deficiencies, assessing exposure and significance, and proposing cost effective recommendations. The responsibility also includes coordinating with appropriate control groups (internal and external) in planning and executing assigned work. Work performed will include coverage of functional and operating units and focusing on compliance, financial, IT, and operational processes. 

Required Qualifications:

  • Bachelor’s degree or equivalent experience
  • Ability to travel
  • Strong analytical skills
  • Ability to resolve problems and make decisions independently
  • Good verbal and written communications
  • Skilled in operating personal computer and various software packages (Microsoft Office, Outlook, Excel, etc.) 

Preferred Qualifications:

  • Experience in Financial Services Industry
  • Series 7 and 66 (or 63/65) 
  • IIA or Audit Certification (CIA, CFSA, CRMA or CPA)
  • Experience with ACL or data analytics software preferred

Job Duties/Tasks:
This position is responsible for, but not limited to the following:

  1. Perform audit work at locations worldwide utilizing established guidelines to analyze the adequacy of internal controls and compliance with corporate procedures.  
  2. Interact with stakeholders to obtain the necessary information for performing audit tests. 
  3. Assist in the identification of audit requirements and development of recommendations that will facilitate business unit compliance to policies and regulations. 
  4. Contribute to identification of department operational efficiencies and changes in auditing operations that could lead to savings in money or time. 
  5. Assess both the design and operating effectiveness of internal controls.
  6. Understand the flow of business processes, including underlying technology, to identify potential points of failure.
  7. Evaluate controls designed to prevent or detect fraud, including management override of controls
  8. Evaluate controls over financial reporting process
  9. Participate in audit teams and department committees. 
  10. Acquire additional knowledge of laws and regulations
  11. Performs other duties as assigned. 


Job Details

Date Posted October 29, 2018
Date Closes November 28, 2018
Located In La Vista, NE
Job Type Full-time Employee
Compensation Salary, Varies, Based on Experience
Positions Available 1
SOC Category 13-2011.02 Auditors
Zipcode 68128
Travel Yes - 50
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...