Audit Lead, Compliance Systems - Investment Bank - New York, NY

Job Title: Audit Lead, Compliance Systems - Investment Bank - New York, NY
Contract Type: Permanent
Location: New York, USA
Salary: Negotiable
Reference: BBBH18495_1527717989
Contact Name: James Dappert
Contact Email:
Job Published: May 30, 2018 23:06

Job Description

My client, a world leading investment bank, is looking to bring in an Audit Project Lead to spearhead their compliance systems audits. You will join a growing and vital team and help plan & execute audit projects in your own style. You will also gain exposure across numerous audit areas - particularly IT audits, Systems audits, Compliance audits, and Operational audits.

You must have some knowledge of compliance systems and how they operate front-to-back. An understanding of the systems Actimize and Ficrosoft are a huge but not a necessity - any technical grasp on compliance or audit systems will suffice.


  • Plan, develop, and execute audits and evaluate document controls & processes
  • Assess the system of internal controls strengths & gaps and prepare risk assessment programs and audit planning memos as appropriate
  • Judge and escalate issues identified from audit assignments or special projects
  • Supervise, coach, and review junior teammates on their work
  • Report audit results to management along with teammates


  • Bachelor's degree in Finance, Accounting, Information Systems and Technology or a related field
  • 2-5 years' of internal or external audit work or relevant business line experience
  • Strong analytical, communication, and interpersonal skills
  • Knowledge of local and regional regulatory requirements is helpful: KYC, AML, and Patriot ACT experience helpful
  • Expertise in areas should ideally include most of the following: Business process mapping; Security architecture; Access control software; Operating systems (Windows, UNIX/Linux, MVS); Database platforms; Security policies & standards
  • Ability to multi-task efficiently and effectively - you will be juggling several audit components at once
  • Professional certifications (CPA, CISA, CIA) preferred

This opportunity will provide exposure across numerous business lines and the chance to begin leading & executing audits needed to move into management. For more information, apply to this posting or reach out to James Dappert at 646-766-1242.