Regulatory Compliance Auditor Regulatory Compliance Auditor …

Robert Half - US
in New York, NY
Permanent, Full time
Be the first to apply
$130-150k base plus 15% target bonus
Robert Half - US
in New York, NY
Permanent, Full time
Be the first to apply
$130-150k base plus 15% target bonus
Robert Half Financial Services are recruiting for a Regulatory Compliance Auditor within an International Bank located in midtown Manhattan New York. Our client requires at least 8+ years Compliance Audit or Compliance Testing experience at an International Bank with knowledge of FDIC or NYDFS Regulations. This role will initially be fully remote but then eventually full time in the office after the pandemic is over.

Responsibilities:

  • Reporting directly to the Head of Compliance Audit, the Regulatory Compliance Auditor will effectively and efficiently prepare a well-developed, risk-based audit approach for large audits, with significant focus on regulatory and compliance areas.
  • Effectively and efficiently prepare a well-developed risk-based audit approach and document high quality work papers for regulatory and operational audits in accordance with The IIA Standards;
  • Strong understanding of business, industries and competition, as well as business units’ regulatory and technology environment. Demonstrated ability to document understanding of complex business processes and related internal controls in narrative and/or flowchart formats;
  • Demonstrated knowledge, skills, and experience in applying the principles and practices of internal auditing in regulatory, operational, financial, and/or information technology environments including auditing business functions;
  • Consult with management to design an adequate and cost-effective system of internal control to ensure the integrity of the business units’ financial records and to safeguard assets;
  • Provide effective solutions to complex problems, including recommendations for process improvements and future business actions. Must identify risks, assess mitigating controls, determine “root causes” and make recommendations to improve the control environment, including ability to research and identify best practices;
  • Strong interpersonal skills – must possess a positive, tactful and diplomatic approach when interacting with others. This includes the customer, internal audit staff and management;
  • Does what it takes to get the job done; take charge when problems occur in one’s area of responsibility.  Proactively seek out additional responsibilities (when appropriate);
  • Organize and effectively plan for large audit/projects and handling of various tasks and special projects. Ability to adapt quickly to changing demands and environment and rapidly develop in-depth knowledge of new audit areas;
  • Advanced communication skills – effective in a variety of presentation settings and with all levels of management. Effective written and verbal communication skills must be well developed. Must prepare final audit reports summarizing background of audit performed, audit scope, recommendations and audit conclusion with minimal need for revision;
  • Take ownership and proactively follow-up on open audit issues and their resolution for assigned areas;
  • Participate in department-wide initiatives and perform other duties as assigned.

Requirements:

  • Minimum 8+ years of Compliance Audit or Compliance Testing experience at an International Bank.
  • Knowledge of FDIC or NYDFS Banking Regulations.
  • Certified Anti-Money Laundering Specialist (CAMS) or Certified Internal Auditor (CIA) preferable.
  • Bachelor’s degree (BS/BA) required.

The Regulatory Compliance Auditor role is initially remote but eventually located in midtown Manhattan New York so please only apply if you are able to travel to this location, have relevant experience for the role and are eligible to work in the United States. The salary is flexible dependent on experience, however the initial range is $130-150k base plus 15% target bonus. If your profile matches the above criteria, please contact me on **trishan.khareghat@roberthalf.com**

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