Senior Regulatory Audit Specialist

1 week ago


New Orleans, Louisiana, United States Lewis James Professional Full time
Senior Auditor - Regulatory Compliance

Lewis James Professional is a woman-owned staffing and consulting firm specializing in project-based solutions and direct hire placements. We are currently in search of a Senior Auditor - Regulatory Compliance for a direct hire role with a client in the financial services sector.

Key Responsibilities:
  • Oversee the planning, scope, execution, and reporting of audits focused on regulatory compliance, tailored to identified risks.
  • Collaborate with management to define audit scope, provide status updates, and discuss findings.
  • Effectively manage time and staffing resources allocated for each audit assignment.
  • Prepare comprehensive work papers that accurately reflect the work conducted and substantiate conclusions drawn.
  • Ensure that audit issues are clearly articulated, root causes are thoroughly analyzed, and recommendations for enhanced controls and processes are effectively communicated to management.
  • Possess the ability to recognize and assess a wide array of risks associated with processes, regulatory compliance, organizational policies, and technology.
  • Assess the adequacy of control designs within complex business processes, conduct control testing, and document all work performed in alignment with internal audit standards.
  • Contribute insights and perspectives on the effectiveness and sufficiency of the control system.
Qualifications:
  • Bachelor's Degree from an accredited institution.
  • 3 to 7 years of relevant auditing experience.
  • In-depth knowledge of the financial services industry.
  • Strong expertise in Regulatory Compliance and Operations.
  • Proficient in planning, organizing, and prioritizing tasks to meet critical deadlines.
  • Comprehensive understanding of the Institute of Internal Auditors (IIA) Standards.
  • Preferred certifications include CRCM, CIA, CPA, CAMS, or other relevant professional designations.

Lewis James Professional is an Equal Opportunity Employer. M/F/D/V


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