Qualis1 Inc. ยท 2 hours ago
Internal Audit Compliance
New York, United States
Contract
Onsite
Mid LevelQualis1 Inc. is establishing a Center of Excellence for Compliance Regulations, specifically focusing on Regulation W and Regulation K. The selected consultant will collaborate with stakeholders to enhance the Internal Audit Compliance Program by developing audit strategies and control inventories.
Staffing & Recruiting
Hiring Manager
Ankit Prasad
Responsibilities
Develop and refine Reg W and Reg K control inventories, leveraging -provided documentation and audit evidence
Draft and finalize audit program outlines and templates for Reg W and Reg K
Integrate audit walkthroughs and fieldwork outputs into the refinement of inventories, audit programs, and gap/enhancement logs
Capture and incorporate gaps and enhancements identified from audit observations into the coverage strategy
Develop a multi-year coverage strategy, training modules, and a final handover package
Deliver all outputs in accordance with the project phases and milestones outlined below
Project management and status reporting, including the development of a detailed project plan, management templates, and periodic status reports
Documentation review and mapping of regulations to relevant legal entities, business and functional areas, and controls
Development and finalization of:
Reg W and Reg K control inventories (using Client -provided documentation and audit evidence)
Audit program templates for Reg W and Reg K
Multi-year coverage strategy
Training materials and knowledge-sharing sessions for audit teams
Integration of audit evidence (walkthroughs and fieldwork) into all deliverables
Maintenance of a gap/enhancement log derived from audit observations
Timely escalation of any delays in documentation or resource availability to avoid impact on audit timelines
All work to be performed on-site at offices; remote work and subcontracting are not permitted
Qualification
Required
Experience in Internal Audit and Compliance Regulations, specifically Regulation W and Regulation K
Ability to develop and refine control inventories
Experience in drafting and finalizing audit program outlines and templates
Capability to integrate audit walkthroughs and fieldwork outputs into audit programs
Experience in capturing and incorporating gaps and enhancements from audit observations
Ability to develop a multi-year coverage strategy and training modules
Strong project management skills, including the development of detailed project plans and status reporting
Experience in documentation review and mapping of regulations to relevant legal entities and controls
Ability to maintain a gap/enhancement log derived from audit observations
Strong communication skills for knowledge-sharing sessions with audit teams
Ability to work on-site at offices, as remote work and subcontracting are not permitted
Company
Qualis1 Inc.
At Qualis1 Inc., our robust business model is strategically built upon serving diverse industry sectors, including Finance, Health Care, Education, State Government, and Manufacturing.
51-200 employees
Funding
Current Stage
Growth StageCompany data provided by crunchbase