Job opportunity
Vice President, Corporate Audit, Compliance
Confidential
Vice President, Corporate Audit, Compliance
About the Company
Expanding provider of investment management, research & trading services
Industry
Financial Services
Type
Public Company
Founded
1792
Employees
10,001+
Categories
- Financial Services
- Investment Management
- Consulting & Professional Services
- B2B
- Asset Management
- Boston
- Finance
- Insurance
- Publicly Traded
- Angel Investment
- Banking
Specialties
- investment management
- custodian
- etf
- financial products
- fund accounting
- relationship management
- research
- trading
- and investment servicing
Business Classifications
- B2B
About the Role
The Company is seeking a Vice President of Corporate Audit – Compliance to provide independent assurance and technical guidance on compliance risk management. Responsibilities include assessing the design and effectiveness of compliance frameworks, governance, monitoring, testing, reporting, and issue management. The role will lead and support complex audits, risk assessments, reviews, and regulatory engagement, while translating complex requirements into clear audit conclusions. It will also involve advising and developing audit team members and keeping current with regulatory developments and supervisory expectations.
Candidates should have at least 10 years of relevant experience in compliance, compliance risk management, compliance audit, regulatory affairs, or related financial services work, including monitoring, testing, assurance, risk assessment, or independent challenge. Deep knowledge across multiple compliance disciplines—such as conduct, privacy, regulatory change management, governance, and regulatory obligations—is required, along with experience leading complex audits or reviews. Strong judgment and senior-level communication skills are essential. A relevant professional certification and an advanced degree in a related field are preferred.
Hiring Manager Title
Managing Director
Functions
- Finance
Apply on source site About the Company
Expanding provider of investment management, research & trading services
Industry
Financial Services
Type
Public Company
Founded
1792
Employees
10,001+
Categories
- Financial Services
- Investment Management
- Consulting & Professional Services
- B2B
- Asset Management
- Boston
- Finance
- Insurance
- Publicly Traded
- Angel Investment
- Banking
Specialties
- investment management
- custodian
- etf
- financial products
- fund accounting
- relationship management
- research
- trading
- and investment servicing
Business Classifications
- B2B
About the Role
The Company is seeking a Vice President of Corporate Audit – Compliance to provide independent assurance and technical guidance on compliance risk management. Responsibilities include assessing the design and effectiveness of compliance frameworks, governance, monitoring, testing, reporting, and issue management. The role will lead and support complex audits, risk assessments, reviews, and regulatory engagement, while translating complex requirements into clear audit conclusions. It will also involve advising and developing audit team members and keeping current with regulatory developments and supervisory expectations.
Candidates should have at least 10 years of relevant experience in compliance, compliance risk management, compliance audit, regulatory affairs, or related financial services work, including monitoring, testing, assurance, risk assessment, or independent challenge. Deep knowledge across multiple compliance disciplines—such as conduct, privacy, regulatory change management, governance, and regulatory obligations—is required, along with experience leading complex audits or reviews. Strong judgment and senior-level communication skills are essential. A relevant professional certification and an advanced degree in a related field are preferred.
Hiring Manager Title
Managing Director
Functions
- Finance