Vice President Internal Audit

Hybrid in New York, NY or Tempe, AZ or Tampa, FL

The Internal Audit, Vice President plays a pivotal role within the Internal Audit team, leading independent and objective assurance and consulting activities to assess the effectiveness of the Bank’s governance, risk management, and control processes. This role is responsible for independently managing the end-to-end audit lifecycle—including planning, fieldwork testing, reporting, and issue validation—while providing direction on complex audit activities and project deliverables across the organization.

Supervisory Responsibilities

May oversee and provide guidance to audit staff during engagements, supervising individuals at the VP level and below.

How You Will Contribute:

• Leadership & Culture: Foster a collaborative and high-integrity workplace culture that values diversity of thought, promotes accountability, and supports professional growth.
• Collaboration & Best Practices: Operate as a team player, aligning with industry best practices, regulatory expectations, and internal professional standards.
• Stakeholder Management: Cultivate strong, trusted relationships with executives, internal and external clients, and peers, upholding the highest standards of ethics, professionalism, and inclusivity.
• Risk Identification & Analysis: Proactively assess emerging risks, trends, and control effectiveness in dynamic environments, ensuring a thorough understanding of potential vulnerabilities.
• Audit Execution: Lead comprehensive risk assessments and end-to-end audits, providing meaningful insights and impactful observations on governance, risk, and control effectiveness.
• Compliance & Methodology: Maintain strict adherence to audit methodology, regulatory standards, and industry best practices, ensuring accuracy, thoroughness, and consistency.
• Scope & Testing Strategy: Define audit scope with a focus on key risks, establish clear test objectives, and develop robust testing programs to evaluate control design and operational effectiveness.
• Team Oversight & Development: Assign and review audit staff, ensuring alignment of skill sets with engagement needs while challenging and refining audit judgment, risk assessments, and documentation.
• Reporting & Insights: Provide thoughtful and constructive input to the Audit & Finance Committee and management, delivering high-quality reporting that drives informed decision-making.

What You'll Bring:

• 7 years and/or equivalent of experience in internal audit and/or equivalent of experience with the financial services industry, related markets and regulated industries, specifically in the areas of Market Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules.
• Experience working with financial industry regulators, including OCC, FRB, and FINRA
• Deep knowledge of risk assessment, audit methodology, and audit execution
• Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.)
• Strong project management skills; preferably within internal audit functions
• Strong critical thinking skills to identify pragmatic recommendations within an evolving and increasingly complex regulatory and risk management environment
• Strong verbal and written communication skills

Education and Licensure:

• Bachelor’s degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.
• Professional auditing certifications, such as the CIA, CPA, or CFSA, are highly desirable.