Vice President, Internal Audit, Markets & Wealth Services
Confidential
Vice President, Internal Audit, Markets & Wealth Services
About the Company
Financial services firm offering institutional and wealth servicing, brokerage, custody, and audit oversight.
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Vice President for Internal Audit in Markets and Wealth Services. The successful candidate will be responsible for leading and executing risk-based audits across institutional and wealth-servicing businesses. This role demands a deep understanding of securities operations, broker-dealer activities, and the end-to-end trade lifecycle. The VP will be tasked with evaluating operational, regulatory, and financial risks, and will work closely with business stakeholders to enhance controls and governance practices. Key responsibilities include planning and executing audits, assessing risks and controls, ensuring regulatory compliance, identifying control weaknesses, and utilizing data analytics to improve audit effectiveness. Applicants must have a Bachelor's degree in accounting, finance, or a related field, with a minimum of 7 years' experience in internal audit, risk, compliance, or operational audit within financial services. A strong understanding of broker-dealer operations and the full trade lifecycle is essential, as is exposure to first- or second-line risk functions. The role requires experience in conducting risk assessments, executing end-to-end audits, and strong communication and stakeholder management skills. While not mandatory, experience with data analytics, AI tools, SQL, Power BI, or automation technologies, as well as professional certifications such as CPA, CIA, CFA, or CISA, are considered advantageous.
Functions
- Finance
Vacancy posted 3 days ago
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