VP Audit, Legal and Compliance
JCW is currently recruiting on behalf of a large foreign global financial services firm who is actively searching for a VP to join their Internal Audit team focusing on Legal, Compliance and Financial Crimes audits. The ideal candidate will have experience working in an Internal Audit function within a financial institution though technically proficient in the legal and compliance space and experienced working on risk and regulatory audits.
- Lead and perform internal audits for the national wholesale division and reports directly to the Regional Portfolio Director of Legal and Compliance
- Perform annual risk assessments utilizing the departmental risk assessment methodology
- Review the company's control environment and report any weaknesses identified to the Audit Committee
- Minimum of 8 years performing internal audits in a regulatory examiner or compliance role within the financial services industry, ideally with four years of experience auditing Legal and Compliance
- Preferably experienced in auditing compliance regulations and controls for a Broker Dealer
- Expertise in auditing Bank Secrecy Act (BSA) and Anti–Money Laundering (AML), corporate legal functions and financial crime risks
- BA/BS in Accounting, Finance or related field of study
- Applicable Certification is preferred (ACAMS, CIA, etc.)
Megan Cifuni recruits exclusively for Audit professionals across the financial services and public accounting sectors. For more information regarding this position please contact Megan Cifuni at or .