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. Responsibilities 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. Qualifications 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. Other Details 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). Seniority level Executive Employment type Full-time Job function Accounting/Auditing and Finance Industries Financial Services, Investment Banking, and Banking #J-18808-Ljbffr Employvision Inc.