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Compliance & Conduct Auditor - AVP
Banking/Financial company
Banking/Financial company
Jacksonville, FL
W-2 onlyUS ResidentPermanent Position765 views
Jacksonville, FL
Permanent Position
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Your Recruiter
Luda Melanich
Recruiting Team Lead

The Group Audit (GA) function comprises over 600 staff located in our four hub locations of New York, London, Frankfurt, Singapore, and 26 other countries across the globe. The function is a professional, business-focused, proactive risk-based global audit team that operates with transparency, integrity, and independence, and assists the Bank’s business and infrastructure areas to identify key control weaknesses.

The GA team prides itself on ensuring the highest standard in professional delivery. The function provides a systematic, disciplined approach to examine, evaluate, and report objectively on the adequacy of both the design and operating effectiveness of the systems of internal control and the effectiveness of risk management and governance processes.

What We Offer You:

  • We offer competitive health and wellness benefits, empowering you to value life in and out of the office
  • Active engagement with the local community through the company’s specialized employee groups
  • An environment that encourages networking and collaboration across functions and businesses

Key Responsibilities:

  • Develop and maintain an in-depth understanding of the compliance function and mitigating controls to address compliance risk across the company
  • Execute audit testing and coordinate with team members to ensure audit fieldwork is focused on the right areas and documentation meets high-quality standards
  • Identify risks, assess mitigating controls, and make recommendations on improving the control environment
  • Prepare commercially effective audit conclusions and findings and present to GA senior management and business clients
  • Follow-up on open audit findings and their resolution and execute validation testing for regulatory findings
  • Participate in department-wide initiatives aimed at continually improving GA’s processes and supporting infrastructure

Skills and Experience:

  • Experience in a professional or internal audit role within the financial services/banking industry or a related control function and degree educated
  • Understanding of financial concepts and/or operations related to corporate and investment banking, asset & wealth management, private and retail banking, specifically from a compliance perspective
  • Knowledge in any of the following areas: Securities & Exchange Commission (SEC); Commodity Futures Trading Commission (CFTC); Federal Reserve System (Fed); Federal Deposit Insurance Corporation (FDIC); Financial Crimes Enforcement Network (FinCEN); Financial Industry Regulatory Authority (FINRA); Office of the Comptroller of the Currency (OCC); Consumer Financial Protection Bureau (CFPB); National Association of Insurance Commissioners (NAIC); National Futures Association (NFA)
  • Knowledge of compliance, regulatory risk, and/or conduct risk management functions within a financial/banking institution or other organization operating in the financial services/banking industry including government & regulatory affairs, corporate governance, and operational risk management
  • Relevant certification or industry accreditation (e.g. CPA, CFA, CIA, NASD Series)
Skill Proficiency Years Experience Percent Used
Risk Management
Your Recruiter
CIA Preferred
CPA Preferred
CFA Preferred
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