The ideal candidate will come from a regulatory compliance audit background working with bulge-bracket banks. In this role, you will devise a burly Audit Plan for the business. You will then plan, execute, and report upon audits within particular areas of the business – including, but not limited to, Capital Markets, Corporate and Investment Bank, Fund and Securities Services, and the firm’s Private Bank.
You will also:
Lead in the development of internal audit staff
Create effective relationships with senior line management and gain a strong understanding of the business
Participate in and drive major change & business initiatives
Act as lead reviewer for all types of reviews
Negotiate with and report to senior management on new policies, practices, and how to best improve your team
Direct complex and high-level audits for a part of a product line, function, entity, at all levels (regional, country, global) and deliver high-quality audit reports
Bachelor’s in related field e.g. finance, accounting
Experience managing numerous direct reports and deliverance of high-quality reports to stakeholders
Strong negotiation, communication, and written skills
Effective interpersonal skills for interfacing with all aspects of audit, both internal and external, management.
Robust knowledge of all compliance regulations, standards, and business internal policies
7+ years’ experience in related areas, specifically banking regulations, local standards, internal and external policies & practices, and compliance programs
Related certifications (CIA, CPA, CISA, or similar) are a plus
This is the opportunity to prove your worth and help lead a vital team for one of the world’s most important banks in your own management style. For more information, reach out to James Dappert at 646-766-1242 or respond to this posting.
My client, a top 5 global investment bank, is looking to bring on an experienced compliance auditor to take the reins of the regulatory compliance audit function within Tampa, FL or Irving, TX. This role will have a direct line into the chief auditor for the bank’s compliance group and will help build the team in Florida/Texas to become one of the most important audit divisions within the firm.