What are the responsibilities and job description for the Audit Compliance Manager position at JCW?
JCW is currently recruiting on behalf of an investment bank looking to bring on an Audit Compliance Manager. This role focuses on conducting and managing regulatory compliance audits across our investment banking operations. You will play a critical role in assessing how effectively the bank adheres to regulatory requirements and internal compliance frameworks across key areas, including trading, capital markets, KYC/AML, and supervisory procedures.
Key Responsibilities
- Plan, execute, and manage risk-based audits focused on regulatory compliance, including SEC, FINRA, CFTC, FCA, and other global regulators.
- Assess the design and operating effectiveness of compliance controls across business units, especially front office, middle office, and support functions.
- Perform thematic reviews on emerging regulatory risks and assist in continuous monitoring activities.
- Collaborate with stakeholders including Compliance, Legal, Risk, and senior management to identify root causes and drive remediation.
Qualifications
- Bachelor's degree required (Finance, Accounting, Law, or related field); advanced degree or certifications (CPA, CIA, CAMS, CRCM) preferred.
- Minimum 6–8 years of relevant experience in internal audit, regulatory compliance, or financial services risk management.
- Strong understanding of regulatory frameworks applicable to investment banking.
- Familiarity with global financial products and services (e.g., derivatives, fixed income, equities, investment advisory).
- Proven ability to manage complex audits and lead stakeholder discussions.
- Exceptional analytical, communication, and report-writing skills.
