Senior Managing Director, Compliance and Audit
About the Company
A prestigious regional banking institution.
Industry
Banking
Type
Public Company
Founded
1935
Employees
1001-5000
Categories
- Banking
- Financial Services
- Banking & Mortgages
- Consulting & Professional Services
- Banking Services
- Banks and Institutions
- Finance
- Online Banking
Specialties
- Retail Banking
- Online & Mobile Banking
- Consumer Finance
- Commercial Banking
- Financial Advisors
- HSA Bank
- Private Banking
- Retirement Planning
- Small Business
- Cash Management
- Insurance + Employee Benefits
- Treasury Sales + Investments
- Loans + Credit
- Consumer Bank
- Asset-Based Lending
- Equipment Finance
- Mortgages
- Wealth Management
- Employee Benefits
- Treasury Management
- Loans + Credit
Business Classifications
About the Role
Join our esteemed organization as a Senior Managing Director, focusing on Audit with a core emphasis on Regulatory and Compliance roles. This is an exciting opportunity for a results-driven professional with extensive knowledge in compliance and regulatory risks within the financial services landscape. This strategic role is essential for overseeing, evolving, and implementing our internal audit framework to ensure robust regulatory compliance. You will lead risk assessment and audit strategy execution, utilizing data analytics while managing cross-functional teams.
Your key responsibilities will include:
- Fostering collaborative relationships with management and representing Internal Audit across various platforms.
- Ensuring that all audit work adheres to the highest quality standards.
- Championing improvements in auditing processes and methodologies.
- Exhibiting deep technical expertise in regulatory and compliance matters.
- Guiding your team to foster a resilient risk culture.
The ideal candidate will hold a Bachelor's degree (Master's preferred) in a relevant field, with a minimum of 14 years of experience in auditing financial services organizations. Certifications such as CPA, CIA, CERP, CRCM, CAMS, or CISA are a significant advantage. A robust understanding of compliance risks and regulatory frameworks for larger financial institutions, especially those nearing the $100 billion threshold, is crucial. Strong communication, organizational, analytical, and project management skills are essential, along with proficiency in a variety of data analytics tools.
Hiring Manager Title
Deputy Chief Audit Executive
Travel Percent
Less than 10%
Functions
- Business Development
- Finance
- Strategy