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Position: Director - Audit - Regulatory Reporting and Compliance
Job Number: MS03992
Location: NJ - Central
NJ - Northern
NY - New York City
Date Posted: 2017-12-06
Salary Range: Over $150k
Job Summary:

Global Investment Bank seeking a Director for its Audit - Regulatory Reporting group!

Company Information:

Name: Leading Investment Bank

Job Description:

· Develop and manage a process to support audit in the proactive validation of management action plans to address MRAs (from US regulators).  This will include Interacting with regulators and management when testing and validating MRAs and /or audit issued findings

·  Contribute to the US Audit Department’s understanding and delivery against the many Regulatory Expectations of Internal Audit Services.  This includes maintaining a Regulatory “Risk and Control Matrix” including audit requirements from areas such as: FRBNY SRs, banking regulations, broker dealer regulations, OCC regulations and Dodd Frank.

· Contribute to ensuring the US regulatory risks and controls are captured and tested; Assist in creating solutions that support units in complying with regulatory requirements and implementing industry best practices.

· Lead, plan, execute and report on US compliance and regulatory related audits.  Assist in coordination of US Audit Plan and annual risk assessment process.  Risk assess the regulatory and compliance audit universe to determine cycle of audit coverage. 

Requirements / Qualifications:

· Minimum 10 years recent relevant banking/audit experience.

·  BA/BS undergraduate degree

In-depth knowledge of US Regulations, Banking and Capital Markets

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