Internal Audit VP – AML & Compliance

Published
8th June 2017
Category
AUDIT  
Job Type
Permanent
Salary
$160,000

Description

Our client, a leading International Bank are seeking a VP to join their Internal Audit, Regulatory Corporate Compliance Audit Division. The successful candidate will be responsible for performing internal audit engagements covering Compliance areas (including consumer regulations, BSA/AML, and will evaluate internal controls, document audit test work, and communicate audit issues to management. A global leader in the provision of investment banking, securities and investment management services to a diversified client base. Internal Audit is comprised of the global audit teams covering the various business areas of the firm: Capital Markets, Franchise, Treasury, Enterprise, Bank and Technology.

Responsibilities:

  • Participation in audits within Corporate Compliance and throughout the organization, ensuring all audit work performed in accordance with legal, regulatory and internal firm policy requirements.
  • Execute audit testing and supervise junior team members to ensure audit fieldwork is focused on the right areas and documentation meets high quality standards
  • Identify risks, assess mitigating controls, and make recommendations on improving the control environment
  • Prepare commercially effective audit conclusions and findings, and present to IA senior management and business clients
  • Follow-up on open audit issues and their resolution
  • Participate in department-wide initiatives aimed at continually improving IA’s processes and supporting infrastructure
  • Maintain solid working relationships with Business Line Compliance, Front Office, Operations, and other control groups throughout the region
  • 4-8 years of experience in a public accounting or internal audit role within the financial services industry or a related control function
  • 4-year degree in a finance, accounting, or quantitative discipline, and ideally a graduate degree in a related subject
  • Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series) is a plus
  • Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • A background in compliance testing or audit is strongly preferred
  • Strong knowledge of banking regulations, including the rules and regulations of the FRB, OCC, FDIC and CFPB.
  • Relevant experience with a financial services firm within Legal, Compliance, Operations or Audit and/or regulatory organization in a role that relates to financial services

Basic Qualifications, General Skills and Experience:

  • 4-8 years of experience in a public accounting or internal audit role within the financial services industry or a related control function
  • 4-year degree in a finance, accounting, or quantitative discipline, and ideally a graduate degree in a related subject
  • Relevant certification or industry accreditation (e.g., CPA, CFA, CIA, NASD Series) is a plus
  • Ability to apply knowledge of regulations to numerous types of activities and operational arrangements in addition to interpreting the effect of new regulations on these activities.
  • A background in compliance testing or audit is strongly preferred
  • Strong knowledge of banking regulations, including the rules and regulations of the FRB, OCC, FDIC and CFPB.
  • Relevant experience with a financial services firm within Legal, Compliance, Operations or Audit and/or regulatory organization in a role that relates to financial services

For any more information please contact stephaniepotaznik@bsmgroup.com or call +1 (646) 618-8863.

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