VP, Internal Audit & Issues Management (financial services industry)

Los Angeles, CA

Work Arrangement: In Office
2022-07-28

This growing financial services firm has some exciting and major initiatives for a newly created team within the internal audit department! This VP, Internal Audit & Issues Management position will oversee a new specialized team working in an advisory capacity across the organization on a variety of projects related to operational, financial, and compliance risk areas. You will report directly to the SVP, Chief Internal Auditor and work on critical initiatives rather than just routine audits!

Who you are:

  • Bachelors degree in accounting, business, finance, or related field preferred.
  • At least 8-10 years internal audit experience in financial services industry
  • Prior public accounting experience is a plus but not required
  • Compliance/risk management experience highly desired
  • Strong understanding of compliance, internal control theory and audit techniques.
  • Effective project management skills. Strong analytical skills and a good understanding of computer-assisted audit techniques. Must be a team player.

What you’ll do:

  • Primarily responsible for auditing the Financial, Operational, Compliance & Sox functions. Responsibility includes involvement in integrated audits, providing subject matter expertise and leading the execution of the audit process.
  • Guide and direct the audit staff in all audit phases (planning, fieldwork, and reporting) to facilitate the identification and reporting of critical business risks. 
  • Conduct continuous monitoring of business initiatives/ processes to identify areas of increasing and emerging risks within designated focus areas; escalate risk issues as appropriate, follow-up on solutions and propose specific coverage. Analyze and assess related risks assumed by the various businesses and develop a forward-looking view across the Bank.
  • Present clearly formulated observations in a timely and professional manner to management both orally and in writing.
  • Partner with audit clients to identify constructive, practical, innovative, and value-added solutions to issues identified.
  • Participate in the quarterly issue verification process, comprising the follow up for the satisfactory completion of outstanding issues raised by regulators and/ or audits where required.
  • Responsible for developing the audit staff by performing effective work paper review, preparing constructive interim and annual performance evaluations, and providing training opportunities.  

Why work here:

  • Open door policy: Curious minds and solution focused brainstorming is encouraged here!
  • Industry leader: learn from Managers and Executives who have driven this firm’s growth over the years to make it into the successful business it is today
  • Competitive salary and great work/life balance

Please send your resume to Marissa at mdavis@provenrecruiting.com if you have the requisite qualifications and are interested in the opportunity.

We actively support and promote people of various backgrounds, from race, religion and gender to geographical area, university, lifestyle and personality type. Proven Recruiting is minority-owned, majority women, and is a strong advocate for diversity and inclusion in the broader community. Apply now!

#LI-MD #LI-Hybrid

Proven Recruitinghttps://provenrecruiting.com/https://provenrecruiting.com/wp-content/uploads/2019/10/logo-proven-recruiting.pngpermanent