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Internal Auditor II

Why Stifel

Stifel strives for a culture that puts its clients and associates first: a culture where everyone belongs, everyone is welcome, and everyone contributes to the success of our clients, their careers, and the firm as a whole.

 

Let’s talk about how you can find your place here at Stifel, where success meets success.

What You'll Be Doing

Under general supervision, the Internal Auditor II plans and performs operational, financial, and compliance audits of various internal departments to evaluate the adequacy and effectiveness of the organization's governance, risk management process, system of internal control, and quality of performance in carrying out assigned responsibilities in order to achieve the organization's stated goals and objectives. The Auditor II drafts audit reports and performs testing, documents preparation and research, and works under the supervision of the Manager and/or Senior members of the department. Scope of work is advanced staff level.

What We're Looking For

  • Responsible for Sarbanes Oxley Section 404 documentation and the evaluation/testing of internal controls.
  • Responsible for timely execution of risk-based operational, financial and compliance audits in accordance with the annual audit plan.
  • Assist in developing risk-based audit programs.
  • Collect and analyze data to detect deficient controls, duplicated effort, extravagance, fraud, or non-compliance with laws, regulations, and management policies.
  • Inspect records, documents, and systems for efficiency, effectiveness, and use of accepted procedures.
  • Examine records and interview Company personnel to ensure proper recording of transactions and compliance with laws and regulations.
  • Examine and evaluate financial and information systems, recommending controls to ensure system reliability and data integrity.
  • Examine the systems and processes established by the organization to ensure compliance with policies, procedures, laws, and regulations that could have a significant impact on operations and reports and whether the organization is in compliance.
  • Examine the accuracy, reliability, timeliness, and integrity of financial and operating information and the means used to identify, measure, classify, and report such information.
  • Document audit test results consistent with professional requirements.
  • Report audit results to senior members of the audit group and/or the Manager and recommend changes in or improvements to operations and financial activities.

What You'll Bring

  • Strong analytical skills & critical thinking with the ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
  • Demonstrated understanding of basic risk and internal control concepts.
  • Identifying complex problems and reviewing related information to develop and evaluate options and implement solutions.
  • Knowledge of finance and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
  • Ability to prioritize and maintain flexibility while working on multiple projects.
  • Effective verbal and written communication skills.

Education & Experience

  • Minimum Required: Bachelor's degree in accounting, finance, business administration or related field.
  • Minimum Required: 2+ years' experience in internal audit, accounting, or related business or regulatory

Licenses & Credentials

  • Minimum Required: Progress toward professional certification in an audit related area (e.g., CPA, CIA, CFE, or CISA)

Systems & Technology

  • Proficient in Microsoft Office Suite, Microsoft Outlook.

About Stifel

Stifel is more than 130 years old and still thinking like a start-up.  We are a global wealth management and investment banking firm serious about innovation and fresh ideas.  Built on a simple premise of safeguarding our clients’ money as if it were our own, coined by our namesake, Herman Stifel, our success is intimately tied to our commitment to helping families, companies, and municipalities find their own success.

 

While our headquarters is in St. Louis, we have offices in New York, San Francisco, Baltimore, London, Frankfurt, Toronto, and more than 400 other locations.  Stifel is home to approximately 9,000 individuals who are currently building their careers as financial advisors, research analysts, project managers, marketing specialists, developers, bankers, operations associates, among hundreds more.  Let’s talk about how you can find your place here at Stifel, where success meets success.

 

At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

 

Stifel is an Equal Opportunity Employer.

Average salary estimate

$70000 / YEARLY (est.)
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$60000K
$80000K

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What You Should Know About Internal Auditor II, Stifel

At Stifel, we are excited to invite you to apply for the Internal Auditor II position! If you're passionate about ensuring operational efficiency and compliance while working in a dynamic financial environment, this could be the perfect fit for you. In this role, you'll take charge of planning and executing a variety of audits across our internal departments, helping us assess the effectiveness of our governance and risk management practices. You'll be involved in drafting meaningful audit reports, conducting tests, and collaborating closely with the Manager and senior team members. This advanced staff-level position emphasizes critical analytical skills and a solid understanding of finance and internal controls. You'll also play a key role in maintaining compliance with laws and regulations. If you thrive in a flexible atmosphere and enjoy juggling multiple projects while contributing to the firm's overall goals, Stifel is looking for someone just like you. Join our diverse team where your contributions matter, and let's shape the future of wealth management and investment banking together.

Frequently Asked Questions (FAQs) for Internal Auditor II Role at Stifel
What are the main responsibilities of the Internal Auditor II at Stifel?

As an Internal Auditor II at Stifel, you’ll be responsible for planning and performing operational, financial, and compliance audits. Your role includes evaluating the effectiveness of internal controls, drafting audit reports, and ensuring compliance with laws and management policies. You’ll also perform testing, data analysis, and collaborate with senior management to recommend improvements and establish risk-based audit programs.

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What qualifications are needed for the Internal Auditor II position at Stifel?

To qualify for the Internal Auditor II role at Stifel, candidates must possess a bachelor's degree in accounting, finance, or a related field and have at least 2 years of experience in internal audit or accounting. Progress toward professional certification such as CPA, CIA, CFE, or CISA is also required, along with proficiency in Microsoft Office Suite.

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How does Stifel support ongoing education and certifications for Internal Auditor II?

Stifel encourages professional growth by supporting employees’ pursuit of certifications in audit-related fields. As an Internal Auditor II, you will have access to training resources and mentorship opportunities to further your education and develop your skills, helping you progress in your auditing career.

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What skills are essential for success as an Internal Auditor II at Stifel?

Success in the Internal Auditor II role at Stifel requires strong analytical skills, critical thinking, and a thorough understanding of finance and internal control concepts. Additionally, effective communication skills, both verbal and written, are crucial for documenting findings and collaborating with colleagues to ensure operational efficiency.

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What is the work culture like at Stifel for Internal Auditor II positions?

Stifel prides itself on fostering a collaborative and client-focused work culture. As an Internal Auditor II, you will work in an entrepreneurial environment where your contributions are valued. The company promotes diversity and inclusivity, creating a space where everyone can thrive and contribute meaningfully to the firm's mission.

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Common Interview Questions for Internal Auditor II
Can you describe your experience with operational audits?

When answering this question, highlight your specific experiences with operational audits, detailing your role in planning, executing, and reporting findings. Use examples of how your audits led to improved processes or compliance within an organization.

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What techniques do you use to analyze data for audit purposes?

Discuss methods such as statistical sampling, analytical procedures, and trend analysis. Emphasize your ability to draw actionable insights from data to enhance internal controls and operational efficiency.

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How do you ensure compliance with laws and regulations in your audits?

Explain your approach to staying updated with current laws and regulations relevant to the industry and how you incorporate these into your audit processes. Offer examples of how compliance has been a focus in your previous roles.

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Describe a challenging audit project you managed. What was your role?

Provide a concrete example of a challenging audit project, detailing your responsibilities, the obstacles faced, and how you overcame them. This shows your problem-solving skills and ability to navigate complex situations.

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What is your understanding of Sarbanes-Oxley Section 404 documentation?

Demonstrate your knowledge of Sarbanes-Oxley and its requirements for documentation of internal controls. Discuss your experience with compliance checks or audits related to this section, showcasing your relevant skills.

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How do you prioritize tasks during busy audit periods?

Illustrate your time management skills, discussing how you assess project urgency and importance. Mention tools or techniques you use to stay organized and on-task during peak periods.

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What steps do you take to communicate audit findings to management?

Talk about your strategy for preparing clear and concise reports and how you facilitate meetings to discuss findings. Stress the importance of constructive feedback and how you recommend actionable changes.

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How do you approach developing a risk-based audit program?

Explain your process for identifying potential risks and determining how to allocate resources effectively. Discuss tools or frameworks you may use to develop comprehensive audit programs.

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Can you give an example of a time you identified a significant deficiency in internal controls?

Share a specific experience where you identified deficiencies and the actions you took to address them. Highlight the positive impact your efforts had on the organization’s operations.

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Why do you want to work as an Internal Auditor II at Stifel?

Convey your interest in Stifel's culture and commitment to innovation. Share how your career goals align with Stifel’s mission and how you believe you can contribute to its success as an Internal Auditor II.

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Full-time, on-site
DATE POSTED
April 18, 2025

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