Internal Audit Senior/Manager
Job Summary
Uphold is seeking a proactive, results-driven Senior/Manager Internal Auditor to join the Internal Audit team. This role supports the build and execution of SOX program, internal audits, issue validation and audit committee reporting. The Senior Internal Auditor will work closely with IA leadership and cross-functional stakeholders to enhance audit effectiveness, consistency, and value delivery. This role requires a strong foundation in internal audit fundamentals, a collaborative mindset, and the ability to apply critical and creative thinking to problem-solving and process improvement.
Essential Duties and Responsibilities
- Plan and execute risk-based audits across financial, operational, compliance, and IT/cybersecurity domains, owning engagements from scoping through report issuance.
- Develop audit programs, risk and control matrices, and test procedures aligned to applicable regulatory frameworks.
- Perform substantive and controls testing, document workpapers to professional standards, and draft clear, concise findings with root cause analysis and actionable recommendations.
- Execute audits of BSA/AML, OFAC sanctions screening, and transaction monitoring programs, assessing design and operating effectiveness of first-line controls.
- Conduct IT General Controls (ITGC) testing across change management, logical access, and SDLC, and assess cybersecurity controls.
- Support SOX 302/404 control documentation and testing.
- Contribute to the annual risk assessment, Audit Committee reporting, and continuous monitoring activities.
Required Qualifications and Skils
- 7-10 years of internal audit, external audit, or financial services regulatory experience, with exposure to fintech, crypto, payments, or banking.
- Demonstrated ability to independently own and execute audit engagements with minimal supervision.
- Working knowledge of BSA/AML, OFAC, and transaction monitoring program design and testing.
- Familiarity with NYDFS regulatory frameworks (Parts 200, 500, 504) or equivalent US financial services regulations.
- Strong written communication skills — precise, efficient, and calibrated for executive and Audit Committee audiences.
- Proficiency in audit workpaper documentation, RCM development, and IIA Standards
Salary: 115k + Bonus + Benefits
Preferred Qualifications
- CPA, CIA, CISA, or CAMS certification.
- Experience with ITGC testing, logical access reviews, or cloud security assessments.
- Exposure to SOX 302/404, material weakness remediation, or IPO readiness programs.
- Understanding of crypto-native risk areas: private key management, wallet architecture, or on-chain transaction analysis.
