SVP Sr. Audit Manager, Compliance/AML - Investment Bank- NY, NY

Job Title: SVP Sr. Audit Manager, Compliance/AML - Investment Bank- NY, NY
Contract Type: Permanent
Location: New York, USA
Salary: Negotiable
Reference: BBBH20186_1543530321
Contact Name: James Dappert
Contact Email:
Job Published: November 29, 2018 22:25

Job Description

My client, a world leading investment bank, is looking for an SVP Senior Audit Manager within the Compliance/AML space to join their growing Compliance Audit team as one of the leaders in the group. The role will have you reporting directly to the Director of FCC Audit and will position you as one of the team heads. You will manage the team as a key stakeholder a group of dedicated Compliance Audit professionals in Audits you plan, design, and execute.


  • Execute audits planned and designed by you and the Director in order assess the effectiveness of the operational controls, test the Firm's adherence to regulatory requirements, and the effectiveness of the US Compliance function.
  • Identify emerging issues and plan effectively with the Risk and Compliance teams how to overcome MRAs and MRIAs raised by the Audit team
  • Drive a customer focused culture within the team in order to strengthen client relationships and leverage existing relationships with clients and regulators
  • Ensure that all reports on audit findings are written effectively and clearly before reporting to executive stakeholders
  • Write and prepare sections of the quarterly report for the Audit Committee
  • Manage, along with the Director, the third line of defense's relationship with all Regulatory bodies at the Federal and State levels


  • Minimum 6 years' experience within Compliance, Compliance Audit, or Regulatory work
  • Subject matter expert in Compliance framework, programs, systems, regulations/regulators, structure, and programs
  • Strong verbal and written communication including the ability to effectively present audit findings to executive stakeholders
  • Strong knowledge of audit techniques and software

This position is a great opportunity to step into a leadership function within the Compliance Audit space and be one of the key leaders of a growing group. For more information, please contact James Dappert with Twenty Recruitment Group.

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