What are the responsibilities and job description for the Compliance Auditor position at Fintech Staffing Partners?
Risk & Compliance Auditor
Location: Remote (NYC or NC preference)
Industry: Financial Services, Risk & Compliance
Employment Type: Contract
About the Role:
We are seeking a Risk & Compliance Auditor with expertise in audit procedures, independent testing, and risk assessment within the financial services industry. The ideal candidate will have a strong technical background in risk-weighted asset calculations, proficiency in Python and SQL for data analysis, and experience conducting independent audits and documentation.
Key Responsibilities:
- Conduct audit reviews focused on risk-weighted asset calculations across retail, wholesale, equities, and securitizations.
- Perform independent testing and validation of financial risk models, controls, and compliance processes.
- Utilize Python and SQL to extract, analyze, and interpret financial data for audit procedures.
- Document and report audit findings, risk exposures, and compliance gaps, providing recommendations for risk mitigation.
- Ensure adherence to regulatory requirements and industry standards, including Basel III, CCAR, and other financial risk frameworks.
- Collaborate with internal teams and stakeholders to enhance audit strategies and risk management processes.
Required Qualifications:
- Experience in audit, independent testing, and compliance within the financial services industry.
- Strong understanding of risk-weighted assets calculations for various financial products.
- Proficiency in Python and SQL for data analysis and audit procedures.
- Excellent documentation and reporting skills for regulatory and internal audit purposes.
- Strong analytical and problem-solving abilities in identifying risks and control weaknesses.
Preferred Qualifications:
- Prior experience with financial risk management, internal audit, or regulatory compliance consulting.
- Knowledge of financial regulations such as Basel III, CCAR, SOX, or similar frameworks.
- CPA, CIA, CISA, or other relevant audit certifications are a plus.
