Regulatory Compliance Auditor – VP & Director Levels recruitment
Description
- Act as Regulatory subject matter expert while liaising with auditors to ensure compliance of firm policies, procedures, and best practices.
- Oversee a group responsible for auditing the firm’s compliance practices and regulatory initiatives.
- Ensure auditory compliance of various regulations including Patriot Act, Anti-Money Laundering, Bank Secrecy Act, Reg B, Fair Lending, Truth in Lending, Truth in Savings, etc.
- Analyze audit processes and identify any areas lacking in efficiency or productivity.
- Create audit presentations reporting on found results.
- Develop clear execution plan and deliverables by assessing the scope of projects lacking sufficient guidelines or timetable.
- Act as Project Lead for each audit initiative and “own” it with the ability to make executive decisions for each projects.
- Identify various risks and gaps for each audit initiative and formally report those findings to executive-level management.
- Track the productivity of management projects and assess the meeting of deadlines.
- Lead and participate in audits spanning across multiple business lines and departments including accounting, finance, ops, and IT.
- Create test scenarios to improve and measure current audit process controls.
- Oversee the implementation and use of technologies and automation applications designed to optimize audit processes.
- Act as liaison with lines of business and internal and external auditors to develop audit action plans.
- Supervise a team of compliance and audit professionals.
- Provide training, guidance, technique and constructive criticism to staff team members.
- Provide team with subject matter expertise regarding compliance regulations.
- Successfully lead and deliver several audit projects occurring in various national locations and within several various lines of business.
Requirements:
- 7+ years within financial services
- 7 – 10 years of in-depth regulatory experience particularly regarding compliance and audit
- 4-year Bachelor’s degree relevant to this position’s objectives
- Experience working with different technical systems and applications used within the fields of regulatory compliance, accounting and audits
- Possess inspirational mentoring techniques
- Ability to motivate and develop staff team members
- Extensive experience utilizing theories of audit control
- Track record of delivering on tight deadlines
- Ability to filter which issues to escalate
- Skilled in the practice of proactively providing feedback and updates to business stakeholders
- Preferred: CIA, CAMS, CPA
- Open to travel
For more information, and in strictest confidence, please contact Thea Cimmino, Senior Recruitment Consultant for Michael Page International, Legal Compliance on 212 771 6088 or email: TCimmino@michaelpage.us.com
November 15, 2010
• Tags: Accounting & Finance careers in the USA, Regulatory Compliance Auditor, VP & Director Levels recruitment • Posted in: Financial