Director of Internal Audit - Financial Services

We are seeking a Director of Internal Audit to join our client's team! A Director of Internal Audit for a financial services company directs risk-based audits, assesses operational and financial controls, ensures regulatory compliance (e.g., SOX, FINRA), and reports findings to the Audit Committee. They oversee annual audit planning, lead teams, and collaborate with external auditors to mitigate risk. This role requires experience in financial services.

Key Responsibilities

• Audit Strategy & Planning: Develop and implement a comprehensive, risk-based annual internal audit plan, ensuring alignment with organizational goals and regulatory requirements.
• Risk Assessment & Control Evaluation: Identify and assess financial, operational, and compliance risks; evaluate the effectiveness of internal controls and recommend improvements.
• Reporting & Governance: Report audit findings, risks, and management action plans to senior management and the Audit Committee.
• Regulatory Compliance & Liaison: Act as the primary contact for regulatory exams and ensure adherence to industry-specific regulations (e.g., SEC, FINRA) and SOX compliance.
• Team Leadership: Hire, mentor, and lead a team of audit professionals.
• Special Investigations: Conduct special investigations and fraud investigations as requested by management or the Board.

Qualifications & Skills

• Experience: 10 years in internal audit, public accounting, or financial services, with at least 5 years in a managerial role.
• Education: Bachelor’s degree in Accounting, Finance, or a related field; MBA preferred.
• Certifications: CIA or CPA a plus
• Skills: Strong knowledge of GAAP, SOX, and the COSO framework, plus expertise in financial services software and audit technologies