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Compliance Audit Manager

Company: Michael Page International Inc.
Location: Hoboken
Posted on: September 23, 2022

Job Description:


In this position, the Audit Manager will perform professional internal auditing work that involves evaluating the compliance program control environment for business units operating within the Americas Division and provide feedback to Management on the adequacy of Compliance Program control designs, as well as the operating effectiveness of processes/activities. The candidate should have functional knowledge of regulatory compliance programs that have been established to comply with local banking regulatory requirements, policies and procedures, provisions and guidelines. The candidate must have working knowledge of regulatory requirements and the related risks and controls and demonstrate the ability to lead a Compliance Audit Team on audit reviews, as well as work as a team member.

+ Examines and evaluates internal controls in key risk areas of banking, capital markets and/or broker dealer activities/practices to ensure compliance with internal policies and applicable rules, laws, and regulations.

+ Leads audits as Auditor-In-Charge, managing a small to medium sized team of Internal Audit professionals that executes audits in accordance with Internal audit and regulatory standards.

+ 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.

+ Monitors the risk environment and assesses the emerging risks through continuous monitoring process.

+ Provides coaching, on-the-job training, and feedback to audit staff, including junior audit team members.

+ 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.

+ Applies a broad and comprehensive knowledge of compliance across functional areas and develops effective stakeholder relationships.

+ Proposes or evaluates appropriate and pragmatic corrective measure designed to strengthen internal controls, operational policies and procedures, and other weaknesses identified during audits. Analyzes reporting findings and recommends and pragmatic solutions for risk and control problems.

+ Collaborates with other audit and business teams to determine impact on the overall control environment and audit approach.

_MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants._

+ Minimum 10 years or more of audit or compliance testing experience in areas related to compliance programs, US banking, and/or broker dealer laws and regulations, local standards, and internal policies.

+ Proficient understanding of Compliance Risk Management particularly around risk assessments and monitoring and testing programs. Experience with privacy and conduct risk compliance management, especially those associated with correspondent banking, corporate & investment banking, treasury management and capital markets compliance reviews.

+ Demonstrates experience in managing integrated internal audit and assurance delivery.

+ Effective negotiation skills in communicating findings and strength in sustaining independent views. This individual must be an articulate and effective communicator, both verbally and in writing.

+ Strong interpersonal skills for interfacing with all levels of internal and external audit and management.

A large international financial services institution looking to grow their Internal Audit team.

A competitve base salary with ample PTO and potential for bonuses.

Keywords: Michael Page International Inc., Hoboken , Compliance Audit Manager, Executive , Hoboken, New Jersey

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