Executive Lead Auditor, Regulatory Compliance (Global)

Employvision Inc.; New York (NY); On-site; USD 180,000 - 270,000; Full time

Job summary

A financial services firm based in New York is seeking a Vice President, Lead Auditor to oversee internal audits with an emphasis on U.S. and global regulatory compliance. The ideal candidate will have 6–10 years of experience in audit or compliance and strong financial regulatory knowledge. The role involves managing audit teams, assessing compliance risks, and engaging with stakeholders. This is a full-time executive position that may require occasional travel.

Qualifications

• 6–10 years of audit or compliance experience.
• Strong knowledge of banking and broker-dealer operations.
• Must adhere to internal audit charter and ethical principles.

Responsibilities

• Lead and execute audits from planning through final reporting.
• Assess risks, test controls, and verify compliance.
• Manage audit teams, allocate tasks, and ensure quality of work.
• Maintain strong stakeholder communication and deliver reports.
• Contribute to audit methodologies and compliance expertise.

Skills

Leadership ability

Project management

Analytical skills

Communication skills

Cross-cultural collaboration

Education

Bachelor's/Master's in Accounting, Finance, Business, Economics

CPA, CFA, CIA certifications

Job description

A financial services firm based in New York is seeking a Vice President, Lead Auditor to oversee internal audits with an emphasis on U.S. and global regulatory compliance. The ideal candidate will have 6–10 years of experience in audit or compliance and strong financial regulatory knowledge. The role involves managing audit teams, assessing compliance risks, and engaging with stakeholders. This is a full-time executive position that may require occasional travel.