HW3 · 6 days ago
Regulatory Compliance Lead Auditor
NYC Metro Area
Full-time
Onsite
Senior Level
$160K/yr - $185K/yr
6+ years expHW3 is a foreign banking organization looking to hire a VP Lead Auditor for their Regulatory Compliance Audit team in New York City. This role involves leading audits focused on regulatory compliance, overseeing junior auditors, and ensuring adherence to internal policies and regulatory expectations.
RecruitingStaffing Agency
Hiring Manager
Adara Kelly
Responsibilities
Lead and manage regulatory compliance audit engagements from planning to final reporting
Assess risk and control frameworks within the organization’s second line of defense
Review adherence to regulatory and internal policy requirements
Oversee and support audit fieldwork conducted by junior team members
Communicate audit findings and recommendations to senior management
Coordinate interviews, walkthroughs, and stakeholder meetings
Monitor implementation of audit recommendations and corrective actions
Contribute to internal methodology improvements and knowledge sharing across teams
Participate in the annual audit planning process and ensure timely delivery of audit objectives
Support coordination with regulators and co-sourced audit resources as needed
Qualification
Required
Bachelor's or Master's degree in Accounting, Finance, Business, Economics, or a related field
6–10 years of experience in internal audit, regulatory compliance, or a similar control function
Strong understanding of bank or broker-dealer operations
Strong knowledge of U.S. banking regulations with a focus on Reg W, Reg O, Reg K, Reg Y, Volcker Rule, and other corporate compliance regulations
Demonstrated experience leading audit teams and managing stakeholder relationships
Strong analytical, communication, and project management skills
Preferred
Strong understanding of bank or broker-dealer operations
Strong knowledge of U.S. banking regulations with a focus on Reg W, Reg O, Reg K, Reg Y, Volcker Rule, and other corporate compliance regulations
Professional certifications such as CPA, CIA, or CFA
Company
HW3
HW3 is a global recruitment consultancy that offers staffing and recruitment services within regulated industries.
51-200 employees
Funding
Current Stage
Growth StageTotal Funding
$7MKey Investors
Meraki Capital
2024-07-30Series Unknown· $7M
Leadership Team
Nick Vaughan
Founder & CEO
Mark DePanfilis
Client Growth Partner
Company data provided by crunchbase