Compliance Auditor

Employvision Inc.; New York (NY); On-site; USD 100,000 - 130,000; Full time

Job summary

A leading compliance auditing firm is seeking a Lead Auditor in New York, NY. This role involves conducting corporate regulatory compliance audits, leading a team of auditors, and maintaining communication with stakeholders to ensure audits are comprehensive and timely. Candidates should have experience in audit planning and regulatory compliance. Full-time position with a Director level seniority.

Qualifications

• Experience in conducting audit assignments in corporate regulatory compliance.
• Proven ability to lead teams of auditors.
• Strong communication skills to maintain open communication with stakeholders.

Responsibilities

• Conduct audits from planning to issuance of final reports.
• Assess audited activities, perform tests, and issue recommendations.
• Monitor and validate the implementation of corrective actions.

Skills

Audit planning

Regulatory compliance

Team leadership

Stakeholder communication

Control analysis

Job description

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Summary:

• The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report.
• This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of recommendations.
• He/she is responsible for the timeliness and comprehensiveness of the audit deliverables under the supervision of the Local Head of Audit or an Audit Supervisor.
• He/She is accountable for maintaining open communication with stakeholders, and drafting the management debriefing presentation and final report.
• He/she usually leads a team of several auditors.
• In most audits he/she also executes control sections of the audit.
• He/she generally, but not exclusively, leads audit assignments that have a focus corporate compliance and regulatory requirements.
• He/she provides support to other Managers for assignments where regulatory compliance expertise is needed.
• He/she monitors and validates the implementation of recommended corrective actions identified in audit or regulatory coverage.

Seniority level

Director

Employment type

Full-time

Job function

Accounting/Auditing

Industries

Investment Banking

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