Senior Manager, Internal Audit

A financial services organization is seeking a Senior Manager, Internal Audit – Compliance & Operations to join its Internal Audit team. This individual will lead risk-based audits across regulatory compliance, financial crime, and operational risk, while partnering with senior stakeholders across Compliance, Risk, Legal, and Operations.

The role will be responsible for managing audit engagements from planning through reporting, supervising audit staff, evaluating complex control environments, and providing practical recommendations to strengthen the organization’s risk and control framework.

Key Responsibilities

• Lead risk-based audits covering Compliance, AML/BSA, sanctions, financial crimes, and operational risk.
• Manage the full audit lifecycle, including planning, risk assessment, fieldwork, testing, reporting, and issue validation.
• Evaluate the design and effectiveness of controls supporting regulatory and operational processes.
• Review areas including KYC/CDD, transaction monitoring, sanctions screening, suspicious activity reporting, and financial crime governance.
• Lead operational audits across business and support functions.
• Supervise and develop audit team members and provide technical guidance throughout engagements.
• Prepare clear audit reports outlining key risks, control gaps, root causes, and recommendations.
• Present audit findings and risk insights to senior management.
• Partner with Compliance, Risk, Legal, Financial Crimes, and Operations teams on emerging risks and regulatory developments.
• Support regulatory examinations and other assurance or investigative activities as needed.
• Leverage data analytics and technology-enabled audit techniques to improve audit coverage and efficiency.
• Monitor remediation efforts and validate closure of audit findings.
• Contribute to annual risk assessments, audit planning, and special projects.

Qualifications

• Bachelor’s degree in Accounting, Finance, Business, Risk Management, or a related field.
• 7 years of experience across Internal Audit, Compliance, Risk Management, or regulatory functions within financial services.
• Experience leading complex audit engagements and managing or mentoring audit professionals.
• Strong knowledge of AML/BSA, sanctions, financial crime risk, regulatory compliance, and operational controls.
• Experience within a regulated banking, capital markets, fintech, or broader financial services environment.
• CIA, CAMS, CFE, CPA, CRCM, or similar professional certification preferred.
• Advanced degree is a plus.