Operations Auditor
Core
VP-level Operations Auditor responsible for planning, executing, and supervising internal audits of back-office operations across commercial banking, broker dealer, and swap dealer entities.
Role type
VP-level Operations Auditor (Internal Audit)
Builds
Independent assurance and consulting services to evaluate risk management, governance, and internal control effectiveness.
Domain
Financial Services (Banking, Brokerage, Swap Dealer)
Required skills
Internal audit planning and execution, supervisory examination, back-office operations auditing, regulatory compliance assessment, risk management evaluation, process improvement identification, staff supervision and performance evaluation, audit project management, financial products knowledge.
Preferred skills
Advanced degree (MBA), professional designations (CPA, CAMS, CIA, CISA, CFE), experience with derivatives and broker dealer businesses.
Technologies
Audit software, MIS reporting tools, regulatory databases.
Responsibilities
Plan, execute, and supervise audits of settlements, payments, reconciliations, and trade support; evaluate internal controls and compliance with laws; identify process improvements; supervise audit staff and provide feedback; maintain communication with technology management, external auditors, and regulators; assist in risk assessments and off-site monitoring; represent the department on committees and special project teams.
Seniority
VP, hands-on IC with strategic oversight
