Job is Expired
Location: Arizona, California, Colorado, Florida, Georgia, Illinois, Massachusetts, Minnesota, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Texas
Compensation: To Be Discussed
Staff Reviewed: Tue, Dec 21, 2021
Job Summary
A banking and asset management company is filling a position for a Remote Senior Regulatory Compliance Internal Audit Manager.
Core Responsibilities of this position include:
- Scoping, planning and managing regulatory compliance audits
- Reviewing work papers to ensure clear identification of risks and issues
- Delivering high quality audit reports in a timely manner
Position Requirements Include:
- An undergraduate degree in Finance, Accounting or a related business field
- 8+ years of financial services-related audit experience
- Solid business understanding of wealth management, and asset management
- Expertise in investment advisor, broker-dealer and other banking regulations
- Demonstrates experience in managing teams and managing integrated audit delivery
