Regulatory Compliance Lead, Internal Audit - VP

New York City, New York (US)
29 Sep 2016
29 Oct 2016
Contract Type
Full Time
0-25% Travel

Gresham Hunt have partnered with a global leading Investment Management & Insurance firm who are looking to recruit a Subject Matter Expert within the regulatory & compliance space to join their Internal Audit team.

About the position

The client are looking for an individual who is a proven SME within the regulatory space who has the experience to be the "go to" person for the Americas within the Internal Audit function. While they are not looking for direct Audit experience, it is important that the candidate has a good understanding of identifying risks & controls and good reporting skills. The candidate should also have experience in leading projects and supervising more junior members of the team.


  • The candidate will have a minimum of 5 - 8 years of experience performing compliance or regulatory reviews within the financial services industry.
  • Solid understanding of the internal controls framework, risk assessment, control analysis and audit methodologies
  • Prior experience in reviewing compliance/regulatory functions
  • Experience of identifying risks and compliance issues
  • Knowledge and practical implementation of SEC, FINRA, Fed, Department of Treasury or State Insurance related laws and regulations
  • Strong PM skills with the capability to multi-task 
  • Experience working effectively both independently and in team capacity
  • Excellent communicator with strong gravitas and stakeholder management skills
  • Ability to effectively and confidently discuss issues with management & develop business-focused solutions
  • Business related degree along with relevant certification (CAMS, CIA, CFE etc.)