VP Internal Auditor, Regulatory Compliance

A global financial institution is seeking a seasoned audit professional to lead regulatory compliance audits across its U.S. operations. This VP-level role offers high visibility, cross-functional collaboration, and the chance to shape audit strategy in a dynamic control environment.

Requirements:

• 6-10+ years of experience of proven Investment Banking or Corporate Banking experience leading internal audits from start to finish in a 2LOD compliance regulatory function
• Internal Audit leader that sits outside of BSA/AML or OFAC compliance
• Strong knowledge in Alphabet Regulations (Reg W or Reg D highly desirable)
• The ideal candidate is comfortable working with key internal stakeholders and presenting important findings

Nice to have:

• Preferred experience with broker-dealer and investment bank operations
• Strong familiarity with governance and reporting is highly desirable
• CFA, CPA, or CIA

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.

Please note that your personal information will be treated in accordance with our Privacy Policy.