Apex Clearing-Internal Audit Senior

Our Internal Audit Senior will join a rapidly growing organization focused on empowering innovation, growth and efficiency.

We’re looking for someone who:

  • Thinks strategically and is inquisitive.  You’re intellectually curious and love finding and solving challenges with creative and reasonable solutions. You find ways to get things done efficiently without sacrificing quality.
  • Takes initiative and is a high performer.  You’re driven to be the best. You own tasks to the end and challenge yourself by setting goals, crushing them, and helping your teammates do the same.
  • Have great communication skills.  Not only are you articulate when verbally communicating but you can get the message through in a written format.
  • Values the power of the team. You work collaboratively and embrace new ideas and opinions to ensure the team succeeds. Your contributions are not limited to your assigned tasks.
  • Has Investment Experience. You are organized, understand investment terminology and regulatory requirements. You understand the importance of creating a culture of compliance by interacting with other departments to ensure the firm is compliant with applicable futures and securities regulatory requirements and maintaining firm integrity.

What you’ll do all day:

  • Participate in the entire audit cycle. Our internal audit is a small team of two people, needless to say, the team works closely together. You will be actively engaged in all phases of auditing, including assisting with annual planning, performing audits, reporting, follow-up, and interacting with all levels of the organization.
  • Internal audits. Perform audits of compliance with various industry regulations (SEC, FINRA, etc.), with a focus on operational and financial reporting areas. Perform audits of other operational/financial areas as assigned (no SOX, no travel).

A few reasons why you might love working here:

  • Our Compliance track record.  We’ve got an incredible compliance track record. We foster a culture of compliance throughout our firm. 
  • Our team is passionate and driven to succeed.   We work as a team and build off of each other’s knowledge and ideas. We encourage growth and give you a platform to succeed.  
  • You’re open to change.  We are not satisfied with the status-quo. We are continually changing and looking for someone who is looking to change with us.
  • You’ll have genuine opportunities for growth.  We care about your career goals and provide options for growth. If you are successful in a smaller firm, you are likely to be rewarded and recognized much faster than at a larger firm.

And a few reasons why you may not love us:

  • You do not like being challenged.  Each situation may present something new and unknown, something exciting. You will need to find problems, solutions and accept new challenges. If you’d prefer to have your Manager’s buy-in every step of the way, this is not a job for you.
  • You don’t like change.   This is not a job for someone who likes ‘predictable’.  Our customer’s needs are dynamic and can change rapidly, which means the work is dynamic. It’s a fast-paced environment and you need to adapt accordingly. You won’t be bored.
  • You’re not the collaborative type.   We bring ideas to the table and we work together to solve these challenges. If you’re looking solely to be an independent contributor, this might not be the right position for you. 

The skills you’ll need to succeed:

  • Minimum of 2-3 years of experience in an audit role in financial services. Exposure to the securities industry preferred.
  • Bachelor’s and/or master’s degree in accounting or a related field required. Relevant professional certification preferred.
  • Clear and effective verbal and written communication skills.
  • Strong sense of ownership with ability to produce comprehensive results.
  • The ability to work effectively and efficiently with a variety of groups under minimum supervision on a wide range of matters.
  • Demonstrated ability to meet deadlines and extraordinary attention to detail.
  • Ability to prioritize and multi-task effectively under pressure and excellent organizational and time management skills are essential.


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