JCW Group · 5 days ago
Lead Internal Auditor
NYC Metro Area
Full-time
Onsite
Senior Level, Lead/Staff
$155K/yr - $175K/yr
6+ years expJCW Group is an investment bank seeking a Lead Auditor to conduct and manage regulatory audits across their operations. The role involves assessing compliance with regulatory requirements and internal frameworks while collaborating with various stakeholders to ensure effective risk management.
Human ResourcesRecruitingStaffing Agency
Hiring Manager
Haley Rizzo
Responsibilities
Plan, execute, and manage risk-based audits focused on regulatory compliance, including SEC, FINRA, CFTC, FCA, and other global regulators
Assess the design and operating effectiveness of compliance controls across business units, especially front office, middle office, and support functions
Perform thematic reviews on emerging regulatory risks and assist in continuous monitoring activities
Collaborate with stakeholders including Compliance, Legal, Risk, and senior management to identify root causes and drive remediation
Qualification
Required
Bachelor's degree required (Finance, Accounting, Law, or related field)
Minimum 6–8 years of relevant experience in internal audit, regulatory compliance, or financial services risk management
Strong understanding of regulatory frameworks applicable to investment banking
Familiarity with global financial products and services (e.g., derivatives, fixed income, equities, investment advisory)
Proven ability to manage complex audits and lead stakeholder discussions
Exceptional analytical, communication, and report-writing skills
Preferred
advanced degree or certifications (CPA, CIA, CAMS, CRCM) preferred
Company
JCW Group
JCW Group is a recruitment company that offers talent solutions to businesses.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Jamie Woods
Founder / Chairman
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