Hi,
Hope you are doing well!!
I have an urgent requirement with one of my clients. Please find the job details below and forward me your updated resume along with your contact details at Jitendra.s@noviainfotech.com
Job Title: Internal Audit Compliance Consultant (Regulation W & Regulation K)
Location: New York, NY – Onsite Only
Job Summary
The Internal Audit Department (IAD) is establishing a Center of Excellence (CoE) to strengthen compliance coverage for Regulation W (Affiliate Transactions) and Regulation K (International Banking Operations). We are seeking an experienced Internal Audit Compliance Consultant to support the development and execution of a robust, risk-based audit coverage strategy for these regulations.
The consultant will work closely with the IAD Compliance Coverage Lead and key stakeholders to design control inventories, audit programs, and long-term coverage strategies while integrating audit walkthroughs and fieldwork outputs into all deliverables.
Key Responsibilities
Compliance Audit Strategy & Coverage
Develop and refine Regulation W and Regulation K control inventories using client-provided documentation and audit evidence.
Draft, refine, and finalize audit program outlines and templates for Reg W and Reg K.
Design and document a multi-year audit coverage strategy aligned to regulatory risk and audit priorities.
Audit Execution Support
Integrate audit walkthroughs and fieldwork outputs into:
Control inventories
Audit programs
Gap and enhancement logs
Capture audit observations and translate them into actionable gaps and enhancements to strengthen compliance coverage.
Project Management & Reporting
Develop and maintain a detailed project plan, including milestones, timelines, and dependencies.
Provide regular project status updates and reporting to Internal Audit leadership.
Proactively escalate risks, delays, or resource constraints that may impact delivery timelines.
Documentation & Regulatory Mapping
Review regulatory documentation and map Reg W and Reg K requirements to:
Legal entities
Business units
Functional areas
Key controls
Knowledge Transfer & Training
Develop training materials and conduct knowledge-sharing sessions for Internal Audit teams.
Create a comprehensive final handover package to support ongoing audit execution post-engagement.
Required Skills & Qualifications
Strong experience in Internal Audit, Compliance, or Risk Management within the financial services industry.
Hands-on knowledge of:
Regulation W (Affiliate Transactions)
Regulation K (International Banking Operations)
Proven experience developing:
Control inventories
Risk-based audit programs
Audit coverage strategies
Strong understanding of audit walkthroughs, fieldwork, and audit evidence integration.
Experience managing audit-related projects with multiple stakeholders.
Excellent documentation, analytical, and organizational skills.
Jitendra Singh
Sr.Technical Recruiter
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