Major Financial Brokerage firm is seeking a Senior Compliance Auditor at the Executive Director or Vice President Level to join its Internal Audit Division.

The successful candidate will work cross-divisionally to ensure that regulatory requirements are being met in accordance with set standards. Responsibilities will include:
-Ensure completeness of entity universe for Compliance, including management of annual risk assessment process for Compliance that ensures its comprehensive and rationalized. 
-Prepare and execute annual and long-term risk-based audit plans to provide appropriate coverage of compliance activities.      
-Ensure execution of the Compliance audit plan within departmental methodology, policies and standards. 
-Provide management with an independent and objective evaluation of the control environment and evaluate managements control consciousness.
-Communicating regularly with senior management of the functional area to discuss the audit plan status, results of the audit work, and quarterly reporting. 
-Prepare quarterly continuous monitoring document for compliance. 
-Prepare quarterly presentation including; current quarter audit results, control environment assessment, status of prior open issues, etc. 
-Involvement in Compliance audits including; scope determination, audit planning memos, issue development and report writing. 
-Conduct, as appropriate, quality assurance reviews to ensure compliance with department documentation 

The successful candidate must possess 8+ years of Compliance/Audit experience from Financial Services - Brokerage firm or Public Accounting.
CPA+++++
Strong technical knowledge of regulatory requirements with respect to OTS, OCC and Federal reserve code.