We have been engaged to identify an Internal Audit VP of Compliance for one of America’s most respected financial services companies.   This organization has received many accolades, including Top Private Bank in the U.S., and has been growing 20% year-over-year. This position is based in San Francisco, CA.

The Internal Audit VP of Compliance will report directly to the EVP of Internal Audit/Chief Audit Executive.  In this role you will be responsible for leading the Compliance Audit silo, to include understanding the evolving risk universe, developing the Audit plan (in coordination with other Audit leaders), and leading a team of internal and co-sourced resources in the timely and quality execution of that plan.  You will be looked upon to manage, mentor, and develop the members of your team.  You will act as a key member of the Internal Audit leadership team in shaping the continued growth and evolution.

The ideal candidate will likely be coming out of another significant financial services organization.  You will be an established leader in Internal Audit with strong understanding of audit process and methodology.  You will have a strong background in banking (or financial services), with heavy recent experience in that space.  You will have been responsible for leading key audit silo(s), keeping audit plan and projects on deadline with high quality work.  You will be a strong people-manager with a history of success in developing staff.  You will have relevant experience in banking compliance, to include areas like. BSA/AML, NACHA, FACTA, Lending and Deposit Compliance, and Fair Lending, CRA.  You will also be highly collaborative, and work well with people throughout the enterprise.

What Makes this Opportunity Special:

  • Phenomenal Growth – this organization is growing 20% year-over-year and has quintupled in size over the past 10 years.
  • Highly Respected Brand – this is one of the most highly respected organizations in the SF Bay Area, or in financial services. The bank has been recognized as best in class by several publications.
  • Key member of the Internal Audit leadership team
  • High profile role – excellent visibility within organization
  • High integrity organization and culture and Excellent Tone at the Top
  • Highly collaborative corporate culture and values
  • Great SF location – easily accessible by BART, MUNI, or CALTRANS
  • Good work/life balance and No travel!

What would make you a great fit:

  • Bachelor’s degree; advanced degree preferred
  • CPA, CIA, CFSA, CRMA, ACAMS, or other relevant certifications valued
  • 10+ years progressive experience in Audit/Risk/Compliance, with a heavy recent foundation in Internal Audit
  • 5+ years’ in Internal Audit Leadership role, with responsibility for an Audit silo or portion of the Audit plan/team, including audit plan creation and oversight of execution of plan
  • Strong people management skills, including managing, mentoring, and developing staff
  • Heavy background in financial services/banking required
  • Prior experience in Big 4 valued
  • Deep knowledge of banking compliance: BSA/AML, NACHA, FACTA, Lending and Deposit regulations, and Fair Lending/CRM, highly valued
  • Experience working collaboratively as part of an Internal Audit leadership team, valued
  • MUST HAVE Outstanding communication skills and be a polished and confident presenter