Senior Compliance Audit Manager - Investment Bank - Tampa, FL

Job Title: Senior Compliance Audit Manager - Investment Bank - Tampa, FL
Contract Type: Permanent
Location: Tampa, Florida
Salary: Negotiable
Reference: BBBH18640_1543332936
Contact Name: James Dappert
Contact Email:
Job Published: November 27, 2018 15:35

Job Description

My client, a top 5 global investment bank, is looking to bring on an experienced compliance auditor to take the reins of the regulatory compliance audit function within Tampa, FL. This role will have a direct line into the chief auditor for the bank's compliance group and will help build the team in Florida to become one of the most important audit divisions within the firm.

The ideal candidate will come from a regulatory compliance audit background working with bulge-bracket banks. In this role, you will devise a burly Audit Plan for the business. You will then plan, execute, and report upon audits within particular areas of the business - including, but not limited to, Capital Markets, Corporate and Investment Bank, Fund and Securities Services, and the firm's Private Bank.

You will also:

  • Lead in the development of internal audit staff
  • Create effective relationships with senior line management and gain a strong understanding of the business
  • Participate in and drive major change & business initiatives
  • Act as lead reviewer for all types of reviews
  • Negotiate with and report to senior management on new policies, practices, and how to best improve your team
  • Direct complex and high-level audits for a part of a product line, function, entity, at all levels (regional, country, global) and deliver high-quality audit reports


  • Bachelor's in related field e.g. finance, accounting
  • Experience managing numerous direct reports and deliverance of high-quality reports to stakeholders
  • Strong negotiation, communication, and written skills
  • Effective interpersonal skills for interfacing with all aspects of audit, both internal and external, management.
  • Robust knowledge of all compliance regulations, standards, and business internal policies
  • 7+ years' experience in related areas, specifically banking regulations, local standards, internal and external policies & practices, and compliance programs
  • Related certifications (CIA, CPA, CISA, or similar) are a plus

This is the opportunity to prove your worth and help lead a vital team for one of the world's most important banks in your own management style. For more information, reach out to James Dappert at 646-766-1242 or respond to this posting.

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