Director of Internal Audit - Compliance

Director of Internal Audit - Compliance at Confidential Director of Internal Audit - Compliance at Confidential in Jacksonville Beach, Florida Posted in 1 day ago.

Type:

full-time

Job Description:

Overview The Director of Internal Audit - Compliance provides strategic leadership and independent assurance over the effectiveness of compliance programs, regulatory frameworks, and internal controls within a complex, global financial services environment. This role is responsible for developing and executing a risk-based compliance audit plan, leading a team, and engaging senior stakeholders on key regulatory risks and audit findings. Key Responsibilities Develop and execute a comprehensive, risk-based compliance audit plan across areas such as AML/BSA, trade surveillance, licensing, and conduct risk Lead and manage a team of compliance auditors, including coaching, development, and performance management Oversee audits end-to-end, delivering high-quality reports with clear, actionable recommendations Evaluate the design and effectiveness of compliance programs against applicable regulatory requirements (e.g., SEC, FINRA, CFTC, FCA) Assess monitoring and testing activities across first and second lines of defense Present audit findings and risk insights to senior leadership, Audit Committee, and Board Partner with Compliance, Legal, and Regulatory teams to stay ahead of emerging risks Interface with regulators and external auditors during examinations and reviews Incorporate data analytics and technology into audit processes to enhance coverage and efficiency Monitor remediation progress and ensure timely resolution of audit findings Qualifications Bachelor's degree in Law, Finance, Business, Accounting, or related field (advanced degree preferred) 10+ years of experience in compliance audit, compliance, or regulatory roles, including 5+ years in leadership Strong knowledge of financial services regulations and compliance frameworks Experience within a regulated financial services environment preferred Professional certifications (e.g., CIA, CAMS, CFE) preferred Skills & Competencies Deep expertise in AML/BSA, trade surveillance, conduct risk, and regulatory reporting Proven ability to lead risk-based audit programs in complex, multi-jurisdictional environments Strong leadership and team development capabilities Excellent communication skills, with experience presenting to executive stakeholders and regulators Analytical mindset with experience leveraging data to identify risk trends High level of integrity, sound judgment, and discretion What You'll Bring A strategic, proactive approach to compliance audit leadership, with the ability to navigate complex regulatory landscapes, influence stakeholders, and drive a strong risk and control culture.