Vice President, Lead Auditor – Regulatory Compliance; investment banking

Overview

The Vice President, Lead Auditor will lead internal audits focused on U.S. and global regulatory compliance for a foreign banking organization operating in the U.S. This role requires strong knowledge of financial regulations, including Regs D, O, W (“alphabet regs”), and broker-dealer compliance.

• Lead and execute audits from planning through final reporting, ensuring timely and accurate deliverables.
• Assess risks, test controls, and verify compliance with laws, regulations, and internal policies.
• Provide actionable recommendations, monitor corrective actions, and support regulatory interactions.
• Manage audit teams, allocate tasks, and ensure quality of work.
• Maintain strong stakeholder communication and deliver clear, concise reports.
• Contribute to continuous improvement of audit methodologies and compliance expertise.

• Bachelor’s/Master’s in Accounting, Finance, Business, Economics, or related field; professional certifications (CPA, CFA, CIA) preferred.
• 6–10 years of audit or compliance experience, with strong knowledge of banking and broker-dealer operations (Series 99 a plus).
• Strong project management, analytical, and communication skills.
• Leadership ability, relationship management, and cross-cultural collaboration.

• Reports to the Regulatory Compliance Audit Director.
• Occasional travel (U.S., Canada, Europe).
• Must adhere to internal audit charter and ethical principles (integrity, objectivity, confidentiality, expertise, transparency).

• Executive

• Full-time

• Accounting/Auditing and Finance

• Financial Services, Investment Banking, and Banking