Compliance Auditor

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Summary:

• The Lead Auditor conducts audit assignments primarily in 2nd line corporate regulatory compliance from planning to issuance of the final report.
• This includes an assessment of the audited activity, the performance of tests, analysis and controls and the issuance of recommendations.
• He/she is responsible for the timeliness and comprehensiveness of the audit deliverables under the supervision of the Local Head of Audit or an Audit Supervisor.
• He/She is accountable for maintaining open communication with stakeholders, and drafting the management debriefing presentation and final report.
• He/she usually leads a team of several auditors.
• In most audits he/she also executes control sections of the audit.
• He/she generally, but not exclusively, leads audit assignments that have a focus corporate compliance and regulatory requirements.
• He/she provides support to other Managers for assignments where regulatory compliance expertise is needed.
• He/she monitors and validates the implementation of recommended corrective actions identified in audit or regulatory coverage.

Director

Full-time

Accounting/Auditing

Investment Banking

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