Managing Director, Compliance & Financial Crimes Corporate Audit Lead

About the Company

Expanding provider of investment management, research & trading services

Industry Financial Services

Type Public Company

Founded 1792

Employees 10,001+

Categories

Financial Services Investment Management Consulting & Professional Services B2B Asset Management Boston Finance Insurance Publicly Traded Angel Investment Banking

Specialties

investment management custodian etf financial products fund accounting relationship management research trading and investment servicing

Business Classifications

B2B

About the Role

The Company is in search of a Compliance and Financial Crimes Corporate Audit Lead at the Managing Director level. The successful candidate will be a strategic and seasoned audit leader with a strong background in compliance and financial crimes, particularly in the areas of AML/BSA, OFAC/sanctions, ABC, conduct risk, and regulatory compliance. This high-visibility role demands an individual who is intellectually curious, risk-aware, and adept at navigating complex regulatory environments. Responsibilities include providing strategic leadership over audit coverage of global compliance and financial crimes programs, assessing the effectiveness of internal controls, and offering insights to management and the board. The role also involves leading a team of internal audit professionals, managing relationships with senior leadership, and driving the development of a data analytics-driven audit approach.

Candidates for this role at the company should have a Bachelor's degree in a relevant field, with an advanced degree preferred, and a minimum of 15 years' of experience in internal audit, compliance, risk management, or financial crimes within a large financial institution or regulatory body. Professional certifications such as CAMS, CPA, CIA, CFE, or similar are strongly preferred. The ideal candidate will have a global mindset, be adept at leading teams across different geographies, and possess exceptional analytical, critical thinking, and communication skills. The role requires a commitment to the highest ethical standards, transparency, and accountability, as well as the ability to influence and build trusted relationships at all levels of the organization.

Hiring Manager Title VP and Chief Auditor

Travel Percent Less than 10%

Functions

Finance Business Development Strategy