VP Operational Risk/ Internal Audit

The Vice President, Internal Audit - Markets & Wealth Services will lead and execute risk-based audits across our client's institutional and wealth-servicing businesses. This role requires deep knowledge of securities operations, broker-dealer activities, and the end-to-end trade lifecycle. The successful candidate will evaluate operational, regulatory, and financial risks while partnering with business stakeholders to strengthen controls and governance practices. Responsibilities:

• Plan and execute audits covering Markets and Wealth Services businesses, including custody, asset servicing, fund accounting, securities servicing, and wealth management operations.
• Assess risks and controls across broker-dealer, trading, clearing, settlement, and custody functions.
• Evaluate regulatory compliance with SEC, FINRA, SIPC, and Securities Exchange Act requirements.
• Identify control weaknesses, root causes, and process improvement opportunities.
• Draft audit reports and present findings to senior management.
• Monitor remediation activities and validate corrective actions.
• Utilize data analytics and technology-enabled audit techniques to enhance audit effectiveness.

Compensation for this role is 140-170k per year annually. Compensation may vary based on several factors, including skills, experience, and education. Benefit packages for this role may include generous paid time off, medical and dental insurance offerings, and 401k.

REQUIRED SKILLS AND EXPERIENCE

• Bachelor's degree in Accounting, Finance, or related field.
• 7+ years of experience in Internal Audit, Risk, Compliance, or Operational Audit within financial services.
• Strong understanding of broker-dealer operations and the full trade lifecycle.
• Exposure to first- or second-line risk functions.
• Knowledge of securities markets, clearing, settlement, custody, and investment operations.
• Experience conducting risk assessments and executing end-to-end audits. Strong communication and stakeholder management skills.

NICE TO HAVE SKILLS AND EXPERIENCE

• Experience using data analytics, AI tools, SQL, Power BI, or automation technologies.