Compliance Auditor

8 hours ago


Chicago, Illinois, United States Howard-Sloan Search, Inc. Full time
Job Opportunity

We are seeking a highly skilled Compliance Auditor to join our team for a 6-12 month contract. The ideal candidate will have experience in internal audits, risk management, and regulatory compliance.

Key Responsibilities:

  • Conduct risk-based audits of business units within the firm's investment management, broker/dealer, and corporate services divisions.
  • Communicate audit results and recommendations to management to address control weaknesses.
  • Assist with routine follow-up on outstanding audit issues.
  • Review reports and dashboards to monitor developments within business units.
  • Collaborate with external auditors and regulators.

Requirements:

  • Experience in audit and risk management within non-bank financial services companies.
  • Background in investment management and/or securities brokerage industries.
  • Bachelor's degree in Accounting, Finance, or related field.

About the Company:

Our client is a major credit union with a strong reputation in the financial services industry.



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