Internal Audit (Compliance & Corporate Functions)

Hw3 Llc; New York (NY); Hybrid; USD 180,000 - 280,000; Full time

Job summary

Hw3 Llc in New York seeks a Vice President, Internal Audit to lead a comprehensive audit program focused on Compliance and Corporate Functions. The role oversees all audit lifecycle phases, issue validation, risk assessments, and continuous monitoring, while guiding strategy and stakeholder engagement.

The successful candidate will partner with management, regulatory bodies, and audit leadership to strengthen the firm's control environment, mentor staff, and drive continuous improvement in

Qualifications

• 7+ years of internal audit, risk management, or regulatory experience in financial services.
• Experience leading audit engagements and managing audit teams.
• Strong knowledge of internal audit standards and regulatory requirements.

Responsibilities

• Lead the planning, execution, reporting, and completion of internal audits across Compliance and Corporate Functions.
• Manage audit engagements from risk assessment to report issuance, ensuring standards compliance.
• Review workpapers, findings, and deliverables for quality and timeliness.
• Support annual risk assessment, audit plan, and audit schedule.
• Maintain ongoing monitoring to identify emerging risks and inform coverage.
• Partner with management to address control weaknesses and remediation plans.

Skills

Audit leadership

Regulatory knowledge

Stakeholder engagement

Analytical thinking

Communication skills

Education

Bachelor's degree in Accounting, Finance, Business Administration, Economics, Information Systems, Computer Science, or related field

Advanced degree and/or professional certification preferred (MBA, CPA, CIA, CISA, CFE, CA, or equivalent)

Job description

Our client is seeking an Internal Audit (Compliance & Corporate Functions) to work Hybrid in New York. Please see the below job description and apply if you meet the criteria and currently in the market for a great opportunity.

Position Summary

The Vice President, Internal Audit will lead and execute a comprehensive audit program focused on Compliance and Corporate Functions. This role is responsible for overseeing all phases of the audit lifecycle, issue validation activities, risk assessments, and continuous monitoring efforts while contributing to departmental strategy, operational excellence, talent development, and stakeholder engagement. The successful candidate will serve as a trusted advisor to business and audit leadership and play a key role in strengthening the firm's control environment.

Key Responsibilities:

Audit Leadership & Execution

• Lead the planning, execution, reporting, and completion of internal audits, issue validations, and special projects across Compliance and Corporate Functions.
• Manage audit engagements from risk assessment through report issuance, ensuring compliance with professional auditing standards and internal methodologies.
• Review audit workpapers, findings, and deliverables to ensure quality, consistency, and timely completion.
• Support the development and execution of IADA's annual risk assessment process, audit plan, and audit schedule.
• Maintain ongoing monitoring activities to identify emerging risks and inform audit coverage.
• Evaluate the effectiveness of governance, risk management, compliance, and internal control frameworks.
• Oversee issue validation reviews, including regulatory, internal audit, and third-party findings.
• Partner with management to identify, assess, and resolve control weaknesses and facilitate discussion of audit observations and remediation plans.
• Assist in the escalation of significant issues by developing clear, actionable recommendations and reporting conclusions.

Stakeholder Engagement

• Build effective relationships with business leadership, audit management, and key stakeholders across the organization.
• Collaborate with Internal Audit Division headquarters and global audit teams to support audit activities and strategic initiatives.
• Represent Internal Audit on committees, governance forums, and special projects as assigned.
• Support interactions with regulatory agencies, external auditors, and other third-party reviewers.
• Provide leadership, coaching, mentoring, and performance management for audit team members.
• Foster an inclusive, collaborative environment where employees feel respected, supported, and empowered to contribute.
• Promote continuous learning and professional development through feedback, stretch assignments, and career growth opportunities.
• Share best practices, encourage innovation, and leverage technology and audit tools to improve efficiency and effectiveness.

Strategic & Operational Excellence

• Support departmental strategic planning, project management, process improvement, and innovation initiatives.
• Assist in maintaining the Off-Site Monitoring Program and other audit governance activities.
• Monitor regulatory developments, industry trends, and emerging risks impacting financial services organizations.
• Partner with IADA Quality Assurance teams to enhance audit quality and ensure ongoing compliance with internal and professional standards.
• Perform additional assignments and special projects as directed by Internal Audit leadership.

Qualifications:

Education & Certifications

• Bachelor's degree in Accounting, Finance, Business Administration, Economics, Information Systems, Computer Science, or a related field.
• Advanced degree and/or professional certification preferred (MBA, CPA, CIA, CISA, CFE, CA, or equivalent).

Experience:

• 7+ years of experience in internal audit, external audit, risk management, regulatory examination, compliance, or a related financial services discipline.
• Experience auditing Compliance, Corporate Functions, Risk Management, or other control functions within a banking or financial services environment.
• Demonstrated experience leading audit engagements and managing audit teams.

Knowledge & Skills:

• Strong knowledge of internal audit standards, risk management frameworks, internal controls, and regulatory requirements.
• Deep understanding of the financial services industry and evolving regulatory landscape.
• Proven ability to lead multiple projects and prioritize competing deadlines in a fast-paced environment.
• Excellent analytical, problem-solving, and critical-thinking skills.
• Exceptional written, verbal, and presentation communication skills.
• Strong relationship management and stakeholder engagement capabilities.
• Experience supporting senior leadership interactions with regulators, audit committees, and executive management.
• Ability to influence outcomes and communicate complex concepts clearly and effectively.

What Success Looks Like:

• Consistently delivers high-quality audit results that enhance risk management and control effectiveness.
• Builds trusted partnerships across the organization while maintaining audit independence and objectivity.
• Develops and mentors high-performing audit professionals.
• Identifies emerging risks and drives continuous improvement across the audit function and broader organization.