Position- JS2656: SR Audit Compliance

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Position- SR Audit Compliance
Job Id (Use when Referring to Position):	JS2656
Job Type:	FTP
Location:
Experience:	0 - 0
Compensation:	$95,000.00 - $110,000.00
Job Description:	Position Responsibilities . Person would be working within the Legal and Compliance Audit team in the capacity as both a coordinator and team member responsible for the co-ordination, planning, risk assessment and execution of global and local audit assignments, reporting to the Senior Audit Manager and the Chief Auditor of Legal & Compliance. . As Audit coordinator, the Senior Auditor will be responsible for the timely and accurate delivery of the audit assignments and will have supervisory responsibilities. . Ability to work under minimum supervision and to be assigned the more complex areas of the engagement, including special reviews, investigations and pre-implementations. . Build and maintain effective Business relationships. . Close liaison with Audit Group worldwide and External Audit.  . Degree of International travel would be required (approx. 20%). . Responsible for keeping the Senior Audit Manager informed of audit progress, any significant issues arising and potential delays in completion of work. . Drafting Audit issues and making recommendations on mitigation of operational risk identified. . Presentation of audit findings to senior business management. Professional and Personal Qualifications . Seeking an experienced Compliance specialist, with at least six years experience in a role as a Compliance officer, Auditor or examiner with a financial services firm or financial services regulator. . Knowledge of Financial services rules and regulations (SEC, NASD, Federal Reserve and Treasury) is required. . Should have knowledge of U.S. AML Laws (Bank Secrecy Act, Patriot Act) . Legal background and Securities Examinations (Series 7, 24) a plus. . Familiarity with Financial service products and operations is required. . Ability to perform and manage, in conjunction with other team members, reviews of functional areas of Legal & Compliance as well as providing advise/guidance to business auditors in order to assess compliance to applicable laws and regulations. . Ability to identify and evaluate risks and hot topics  from multiple sources, including surveillance reports, external examinations, and internal reviews, (eg. AML, KYC, Product Suitability, Conflict of Interest, etc). . Ability to work under tight deadlines and be able to prioritize and manage multiple projects and assignments. . Team player and ability to work in a fast paced Global environment. . A self starter. . Motivated individual, with further opportunity for potential upward mobility
Degree Required:
Desired Skills:
Additional Information:
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