Manager, Internal Audit, Fiduciary & Regulatory Compliance
Manager Internal Audit (Fiduciary & Regulatory Compliance) Location: Remote (W2) | Confidential Global Bank Role Overview:
We are seeking a Manager Internal Audit to lead audit activities focused on fiduciary risk, Regulation 9 (Reg 9), and regulatory compliance within our Wealth Management and Trust Services business. This role requires expertise in internal controls, risk management, and regulatory oversight, ensuring adherence to 12 CFR 9, OCC requirements, and global fiduciary standards.
Key Responsibilities:
• Internal Audit Execution: Plan and perform audits covering fiduciary risk management, trust administration, investment oversight, and regulatory compliance.
• Regulatory Compliance Oversight: Evaluate adherence to Reg 9, OCC regulations, and global fiduciary requirements, identifying gaps and control weaknesses.
• Risk & Control Assessments: Assess the design and effectiveness of internal controls, ensuring proper risk mitigation strategies.
• Issue Validation & Remediation: Oversee audit findings, MRA/MRIA resolution, and regulatory issue remediation efforts.
• Stakeholder Engagement: Collaborate with Compliance, Legal, Risk, and Wealth Management teams to strengthen the bank's control environment.
• Audit Reporting: Develop clear, concise audit reports and present findings to senior management.
Qualifications:
• 7+ years in internal audit, fiduciary risk, or regulatory compliance within a global bank or financial institution.
• Deep knowledge of Reg 9, fiduciary responsibilities, trust services, and OCC regulations.
• Experience with regulatory exams (OCC, SEC), control testing, and issue remediation.
• Strong analytical, communication, and stakeholder management skills.
• Preferred certifications (none required): CIA, CRMA, CFIRS, CRCM, CAMS, or CFA.
.
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We are seeking a Manager Internal Audit to lead audit activities focused on fiduciary risk, Regulation 9 (Reg 9), and regulatory compliance within our Wealth Management and Trust Services business. This role requires expertise in internal controls, risk management, and regulatory oversight, ensuring adherence to 12 CFR 9, OCC requirements, and global fiduciary standards.
Key Responsibilities:
• Internal Audit Execution: Plan and perform audits covering fiduciary risk management, trust administration, investment oversight, and regulatory compliance.
• Regulatory Compliance Oversight: Evaluate adherence to Reg 9, OCC regulations, and global fiduciary requirements, identifying gaps and control weaknesses.
• Risk & Control Assessments: Assess the design and effectiveness of internal controls, ensuring proper risk mitigation strategies.
• Issue Validation & Remediation: Oversee audit findings, MRA/MRIA resolution, and regulatory issue remediation efforts.
• Stakeholder Engagement: Collaborate with Compliance, Legal, Risk, and Wealth Management teams to strengthen the bank's control environment.
• Audit Reporting: Develop clear, concise audit reports and present findings to senior management.
Qualifications:
• 7+ years in internal audit, fiduciary risk, or regulatory compliance within a global bank or financial institution.
• Deep knowledge of Reg 9, fiduciary responsibilities, trust services, and OCC regulations.
• Experience with regulatory exams (OCC, SEC), control testing, and issue remediation.
• Strong analytical, communication, and stakeholder management skills.
• Preferred certifications (none required): CIA, CRMA, CFIRS, CRCM, CAMS, or CFA.
.
Apply tot his job
Apply To this Job