Consultant/Senior Consultant - Compliance Audit - Investment Bank

Position: Consultant / Sr. Consultant-Compliance Audit with one of Big 4 client i.e US Investment Bank

Experience-4- 7 yrs

Position Description :

This candidate will be involved in development, Planning and/or be performing of compliance audits across the firm such involvement would include.

- Assisting in scope determination, development of audit planning memoranda performance of test work and report writing.

- Preparation and execution of audits plans of the firm's compliance activities.

- Ensure execution of the audit plans of the firm compliance activities.

- Ensure execution of the audit plans within departmental methodology, politics, and standards.

- Ability to travel required (minimal).

Skills Required :

- Solid Understanding of financial services Regulatory Environment with Respect to BSA / AML / OFAC and Broker-Dealer

- Effective Communication Skills

- Understanding of the internal Auditors Process

- Ability to multitask manage support team members on projects and thrive within a small group environment

- An Under graduate Degree ( B.com, BA, B.S or Equivalent )

Skills Desired :

- Preferably ACAMS Certified.

- CPA Certified Regulatory Compliance Manager(CRCM) and/ or Institute of Internal Auditors (IIA) Certification a Plus.

- Prior Regulatory Exp or experience communicating with regulators a plus.