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Subject: Audit Manager & Regulatory Risk, Connecticut

Alice Morgan posted a job: Audit Manager & Regulatory Risk, Connecticut

"The Regulatory Risk Team is responsible for auditing the highest impact regulatory programs and for working alongside our global audit colleagues to ensure that regulatory and compliance risks across Americas are adequately and effectively managed. Our client seeks an Audit Manager responsible for delivering individual audits as the team leader. The ideal candidate will determine the scope of the audit, how to carry it out and the testing strategy in conjunction with the Senior Audit Manager. The Audit Manager will assign individual tasks and responsibilities related to the delivery of an audit and identify the issues, which need to be raised. Additionally, The Audit Manager will manage a team of Auditors on a project basis and will manage the quality of individuals' work on the audit they are team leading and provide team members with performance feedback. Qualifications: * Risk management professional, with 6-8+ years relevant audit, compliance and/or regulatory experience within a large complex banking organization. * Experience with diversified financial products/services within wholesale/international banking and capital markets as well as a thorough understanding of compliance risks inherent in the banks activities, products and services. * Skilled in interacting with senior management and managing business relationships in a highly matrixed organization. * Knowledge of project risk and controls within a complex financial services organization. * Experience leading teams and projects. * Related certifications (e.g. CAMS, CIA) and securities licenses a plus. Responsibilities include but are not limited to the following: * Leading audits of varying size and complexity. * Audit preparation. * Overseeing fieldwork. * Reporting. * Contributing to the development of the audit plan through ongoing risk assessment. * Working collaboratively with our local and global colleagues. * Writing high quality audit reports. * Delivering audit assignments that comply with GIA quality standards and procedures. * Providing robust and challenging insights on risk and control procedures. * Occasional travel (<10%). Other activities include participating in team meetings, GIA conferences, attending knowledge sharing events, and participating in recruitment activities. To apply please submit your resume to info@compliancesearch.com"

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