Senior Auditor- Compliance

Full Time

Investment Banking Client

Office Status: Hybrid (2 days per week in office)

Salary: $120,000 – $140,000


  • Examines and evaluates internal controls in key risk areas of banking and/or broker dealer activities/practices to ensure compliance with internal policies and applicable rules, laws, and regulations.
  • Leads small audits, or own completion of significant components of larger audits.
  • Possesses a broad and comprehensive understanding of different Internal Audit standards, policies and compliance regulations. Proposes or evaluates appropriate corrective measure designed to strengthen internal controls, operational policies and procedures, and other weaknesses identified during audits.
  • Delivers timely high-quality compliance audit assurance reports, Internal Audit Department and Regulatory issue validations and continuous monitoring reporting in accordance with Internal Audit Department standards, relevant government statutes and regulations.
  • Develops engagement planning documentation for assigned areas to communicate rationale for scoping decisions and develop audit programs to ensure adequate coverage of risks.
  • Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity.
  • Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and critical thinking.
  • Uses excellent communication skills in order to influence a wide range of internal audiences including respective product, function, or senior management partners.
  • Applies a broad and comprehensive knowledge of compliance across functional areas
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