Internal Audit Manager - Investment Bank

Position Description: One of the top investment banks in Mumbai is seeking a Manager (5- 7 years) to join its Internal Audit Division. The successful candidate will execute audit coverage of the firm’s Compliance organization, with a focus on the firm’s Anti-Money Laundering program, Regional Bank Compliance, Broker-Dealer Compliance and Anti-Corruption.

The Manager will be involved in the development, planning and/or performing of Compliance audits across the firm. Such involvement would include:

- Scope determination, development of audit planning memoranda, performance of test work and report writing;

- Preparation and execution of audit plans of the firm’s compliance activities;

- Ensure execution of the audit plan within departmental methodology, policies and standards;

- Preparation of the updates to the Risk Assessment

- Ability to travel when required (minimal).

Skills Required - Five to seven years of audit or compliance experience with a financial services firm with a focus on regulatory compliance:

- Solid understanding of the financial services regulatory environment particularly with respect to BSA/AML/OFAC, Bank Compliance and Broker Dealer Compliance;

- Effective communication skills;

- Understanding of the internal audit process;

- Ability to multitask, manage, support team members on projects, and thrive within a small-group environment;

- An undergraduate degree (B.A., B.S., or equivalent).

Skills Desired:

- ACAMS, C.P.A., Certified Regulatory Compliance Manger (CRCM), and/or Institute of Internal Auditors (IIA) certification a plus

- Working knowledge of a foreign language a plus

- Prior regulatory experience or experience communicating with regulators a plus

- Proficient understanding of internal audit processes a plus