Risk & Controls Associate

Responsibilities

• Maintain the inventory of internal controls and assist control owners
• Support the design and documentation of controls, policies, and processes
• Coordinate the annual risk assessment process and assist in risk mitigation
• Develop internal audit scope, plans, and execute audit programs
• Prepare and present reports reflecting audit results and findings
• Manage relationships with external auditors and project manage external audits
• Identify areas to improve operations and handle broad-scope projects

Requirements

• Bachelor's degree in Business, Finance, Accounting, or related field
• 3+ years of experience in audit, advisory consulting, or risk management
• Experience designing, testing, and implementing internal controls
• Ability to navigate ambiguity and manage multiple projects in a fast-paced environment
• Excellent communication skills for stakeholder management

Preferred Qualifications

• CPA, CA, CIA, or related professional certification
• Knowledge of broker-dealer compliance requirements (SEC Rule 17a-5)
• Knowledge of NAIC Model Law on Suitability in Annuity Transactions
• Knowledge of AICPA Trust Services Criteria for SOC 2 Examinations

About the Company

Flourish helps financial advisors evolve from holistic advice to holistic implementation through scalable technology. Headquartered in New York City, Flourish is an independently-operating, wholly-owned subsidiary of MassMutual Life Insurance Company.