Senior Regulatory Audit Specialist
1 week ago
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.
- 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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