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Regulatory Compliance Auditor

2 months ago


San Antonio, Texas, United States Vaco Full time

Vaco is in search of experienced Interim Compliance Testing Consultants to enhance our clients' Enterprise Control Oversight and Risk Testing (ECORT) team. In this pivotal role, you will oversee and provide strategic guidance regarding controls to the first line of defense within the organization. Your responsibilities will include planning and executing tests related to adherence to laws and regulations, as well as managing operational risks associated with intricate policies and procedures.

Key Responsibilities:
  • Design and implement testing strategies to ensure compliance with applicable laws and regulations while addressing operational risks.
  • Support the development, review, and execution of testing procedures aimed at identifying compliance and operational vulnerabilities.
  • Contribute expert insights and guidance in testing areas under the supervision of Leads and Directors.
  • Employ critical thinking and project management capabilities to assist the ECORT testing team in meeting deadlines.
  • Collaborate effectively with team members to ensure thorough and efficient testing methodologies.
Skill Set Requirements:
  • A minimum of 8 years of experience in risk-based testing or auditing methodologies, including transactional, control, reperformance, and adherence testing across Finance/Accounting and related enterprise-wide initiatives.
  • Demonstrated leadership experience (8+ years) in a risk-based testing or auditing framework covering domains such as Financial Statements, Corporate Accounting/Finance, Internal Controls over Financial Reporting (ICFR), SOX compliance, Bank Call Report, Life Insurance Reserves, and/or Regulation W.
  • Comprehensive understanding of key risks relevant to the Chief Financial Office and associated functions.
  • Direct experience within the second or third line of defense, showcasing a robust grasp of risk management and compliance principles.
  • Background in a Financial Institution, Big 4 Accounting Firm, or Internal/External Auditor role.
  • Professional certifications such as Certified Public Accountant (CPA) or Certified Internal Auditor (CIA) are highly preferred.

Vaco is committed to fostering a diverse workplace and strongly encourages applications from women, people of color, LGBTQ+ individuals, people with disabilities, members of ethnic minorities, foreign-born residents, and veterans.

EEO Notice

Vaco is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, sex, religion, national origin, age, disability, veteran status, union membership, ethnicity, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as mandated by federal, state, or local law.

Vaco LLC and its affiliates are dedicated to the full inclusion of all qualified individuals. As part of this commitment, we will ensure that persons with disabilities are provided reasonable accommodations. If you require reasonable accommodation to participate in the job application or interview process, to perform essential job functions, or to receive other employment benefits, please reach out.

Privacy Notice

Vaco LLC respects your privacy and is committed to providing transparent notice of our policies.

  • California residents may access Vaco's HR Notice at Collection for California Applicants and Employees.
  • Virginia residents may access our state-specific policies.
  • Residents of all other states may access our policies.
  • Canadian residents may access our policies in English and French.
  • Residents of countries governed by GDPR may access our policies.
Pay Transparency Notice

Compensation for this role at Vaco is determined by various factors, including:

  • Individual skill sets, experience, and training;
  • Licensure and certification requirements;
  • Office location and geographic considerations;
  • Other business and organizational needs.

As required by local law, Vaco believes that the salary range referenced above reasonably estimates the base compensation for this position in geographies that necessitate salary range disclosure. The individual may also be eligible for discretionary bonuses.