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Internal Auditor - Operation, Finance, Compliance, Risk Management
Ref No.: 17-00104
Location: New York, New York
Internal Auditor - Operation, Finance, Compliance, Risk Management

Seeking an Internal Auditor skilled in Operation, Finance, Compliance, Risk Management audits.
Relevant work experience in Internal Audit functions and/or at a financial services company or comparable experience working as an advisor for a financial services company is required.

  • Display strong communication, interpersonal, and leadership ability across all levels, coupled with effective problem solving, conceptual thinking, quantitative and analytical skills;
  • Have the ability to work collaboratively with auditors, co source vendor and business stakeholders to manage Audits in all aspects.
Primary Responsibilities:
  • Execute audit programs in a timely manner and in accordance with internal audit policies, procedures, methodologies, and the Standards for the Professional Practice of Internal Auditing.
  • Provide input and assist in the identification of relevant regulatory requirements for incorporation as part of the audit scope and work program.
  • Interact with management and staff to obtain an understanding of the relevant risks, controls, and processes.
  • Communicate and discuss findings with business unit management.
  • Develop audit reports which identify deficiencies and underlying root causes; provide recommendations to mitigate/address deficiencies while adding value to the organization.
  • Conduct research and successfully complete assigned training requirements necessary to maintain relevance.
  • Establishes relationships with business and auditors to meet the operational needs of the organization.

Qualifications, Skills & Experience:
  • A Minimum of 3-5 years, max of 10-years' of professional experience in internal auditing for Banks or other financial institutions;
  • Experience in conducting focused internal audits in several areas including Risk Management, Operations, Finance, Regulatory Compliance in the areas of BSA/AML, OFAC, and consumer compliance;
  • Operation/Finance/Compliance/Risk Management
  • Strong project/task management skills, ability to influence cross-functionally in a rapidly evolving business environment while managing multiple / concurrent projects;
  • A Bachelor's degree from an accredited college or university – preferably in a relevant field of study (i.e., Accounting, Finance, Economics Statistics; Data Science; MIS, Engineering; Math);
  • Relevant professional certification preferred or working towards certifications. Examples include: CRCM - Certified Regulatory Compliance Manager, CCBCO – Certified Community Bank Compliance Officer, CAMS – Certified Anti-Money Laundering Specialist, CPA – Certified Public Accountant, CIA – Certified Internal Auditor, and/or CRMA – Certified in Risk Management Assurance, FINRA License;
  • Strong planning skills necessary to ensure the effective and timely completion of assignments;
  • Communicates effectively. Demonstrates clear, concise and accurate, written and verbal communications,
  • Requires strong analytical skills necessary to facilitate informed decision-making about the issues at hand.
  • Requires strong risk assessment skills and the ability to apply those skills sets in the development of engagement scopes/surveys, and work programs.
  • Technology savvy – understand and use Bank and compliance software, hardware and technology.
  • Strong business acumen and problem solving ability.
  • Potential for 5% domestic travel