Sr. Manager, Internal Audit & Compliance

New York City. Hybrid
Based on experience.
15 Jul 2022
15 Aug 2022
Contract type
Full time
Experience level
Entry level, Graduate scheme

Sr. Manager, Internal Audit & Compliance's primary role is to oversee the Internal Audit, Enterprise Risk Management, and Compliance functions across the Company. This position also drives development and adoption of policies, procedures, and controls; is accountable for monitoring the risk and control environment and consulting on risk mitigation plans to ensure that exposures are kept at acceptable levels. In addition, Sr. Manager, IA & Compliance liaises with internal and external customers to ensure audit and risk assessment results are effectively understood and customer needs are being addressed.




1. Oversee financial and operational audits to evaluate the design and operating effectiveness of the Company’s internal controls and processes

  • Perform, document, and review walkthroughs and testing of controls
  • Monitor compliance with established policies and procedures
  • Promote operational efficiencies
  • Prepare and review working papers to ensure audit observations are substantiated
  • Utilize preferred audit software to review and maintain working papers for financial control testing and operational/compliance audits
  • Present audit results in an objective and professional manner
  • Collaborate with TDC Group Internal Audit leadership for quarterly Audit Committee meetings


2. Oversee, administer, and implement various day-to-day compliance functions, including,

  • Provide guidance to various departments regarding compliance issues and implementation of new compliance requirements with respect to regulatory and contract language
  • Conduct compliance audits, develop and implement corrective action plans, and communicate reports on achievement of action plans to senior management and Board of Directors
  • Develop effective and respectful relationships with applicable state and federal regulators, particularly as it pertains to regular regulatory compliance reporting efforts or operational and financial audits


3. Enhance and evolve the current Enterprise Risk Management Framework in collaboration with TDC Group:

  • Partner with key business stakeholders to strengthen the identification, quantification and mitigation of overall risk
  • Collaborate with internal teams to align our operational activities with risk best practices
  • Develop and implement executive risk metrics, dashboards, and presentations for communication to internal and external leadership and for reporting to the Board of Directors
  • Assess, document and communicate risk exposures across business areas
  • Evaluate and monitor risk mitigation strategies
  • Analyze and prioritize ongoing remediation and other key activities requirements related to enterprise risk management


4. Provide support to other business initiatives and special projects, including such areas as:

  • Support implementation and maintenance of controls and processes in compliance with recognized control frameworks, to include related process design
  • Analyze new and changing regulatory requirements and associated business impacts
  • Support implementation and maintenance of controls and processes in compliance with recognized control frameworks (i.e. NIST, COBIT, ITIL, etc.), to include related process design, documentation, and training
  • Participate in critical system implementations, upgrades, etc.
  • Contribute to other special projects, as needed




  • Bachelors Degree in accounting, finance, business administration, information systems, or related field,
  • Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) preferred


  • Minimum 7 years professional experience
  • Big 4 / Professional Services / Consulting experience preferred
  • Experience with data analysis processes and tools preferred


  • Exceptional interpersonal skills; able to interface with all levels within a complex company
  • Able to maintain high standards of confidentiality and professionalism
  • Ability to organize, coordinate resources, and prioritize multiple projects and balance commitments / deadlines
  • Strong written and oral communication skills, including ability to lead meetings and conduct interviews as well as draft clear and concise reports and written communications
  • Detail-oriented with strong analytical skills
  • Sr. Manager of IA and Compliance must have a solid knowledgebase of compliance program frameworks, including Sarbanes-Oxley or NAIC Model Audit Rule, as well as experience working across common business processes, technologies, and security considerations.

For more information and to apply, please visit our website via the apply button below. 


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