Description

Functional Role: Audit Oversight Specialist L10 – 4 open roles

Overview of Project/Skills Required:

Key Points:

• Seeking candidates with audit/regulatory experience, especially in IT. Former auditors would be ideal candidates.

• Strong communication skills are essential.

• Experience in Capital Markets is a plus but not as critical as former audit experience.

Job Description:

• Lead the assessment and monitoring of non-technical risk processes and control operations across the organization, focusing on areas such as compliance, AML, HR, legal, fraud, and operational risk.

• Develop, implement, and maintain policies and standards to manage non-financial risks in alignment with regulatory requirements and industry best practices.

• Collaborate with business units to identify, evaluate, and mitigate non-financial risks, ensuring robust control environments are established and effectively monitored.

• Coordinate with compliance, legal, and regulatory teams to stay informed of new regulations and changes to existing laws, analyzing their impact on the non-financial risk framework and control operations.

• Facilitate the development and implementation of risk mitigation strategies, control improvements, and corrective action plans in response to identified risk exposures, audit findings, or regulatory reviews.

• Conduct regular reviews and audits of business processes and controls to ensure compliance with established policies, standards, and regulatory requirements.

• Provide expert guidance and support to business units in understanding and fulfilling their non-financial risk management responsibilities.

• Prepare and present detailed reports and analyses to senior management and relevant committees, highlighting the status of non-financial risks, control effectiveness, and compliance with regulatory requirements.

  Requirements

Required Skills:

• Bachelor’s degree in Business Administration, Finance, Law, or a related field. Advanced degrees or professional certifications related to risk management, compliance, or audit (e.g., CRISC, CAMS) are preferred.

• 3-5 years (5-7 years for L10) of experience in risk management within the banking or financial services sector, with proven experience in process and controls operations assessment.

• Extensive knowledge of regulatory requirements and industry standards related to compliance, AML, HR, legal, fraud, and operational risk.

• Demonstrated ability to develop and implement risk management policies and control frameworks.

Additional Desired Qualifications:

• Strong analytical and problem-solving skills, with a keen attention to detail and the ability to address complex risk and control issues.

• Excellent communication and interpersonal skills, able to effectively engage with and influence stakeholders across various levels of the organization.

• Proficient in risk assessment methodologies and tools, with the ability to conduct thorough reviews and audits of business processes and controls.

• Strategic thinker with the foresight to anticipate changes in the regulatory landscape and their implications for non-financial risk management practices.

• Strong project management and organizational abilities, with the capacity to manage multiple priorities and initiatives simultaneously.

Work Location:

Hybrid – Onsite twice per week in Charlotte, NC or Mt Laurel, NJ.

Requirements:

• Pay Rate: $70/hr W2 or $82/hr IC

• Conversion Salary: Charlotte $110-125k, Mt Laurel $125-135k

• Start Date: ASAP

• Duration: 4 months, contract to hire

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