Internal Audit – Consumer Compliance

Internal Auditor - Consumer Compliance

Open to Manager or Senior Associate levels

Job Type: Contract, Hybrid 4 min days per week in office

Location: New York, and/or Dallas

Overview: Our client is seeking a detail-oriented and proactive Consumer Compliance Audit Specialist to join their team. The successful candidate will assist in executing audits with a focus on consumer compliance and perform validation work related to process enhancements. This role involves ensuring compliance with regulatory requirements and internal policies, particularly in areas such as issues management, complaint handling, reporting, and escalation. The primary products covered include credit cards and deposit accounts.

Key Responsibilities:

• Assist in the execution of audits focused on consumer compliance.
• Perform validation work related to process enhancements, including issues management, complaint handling, reporting, and escalation.
• Ensure adherence to consumer compliance regulations and internal compliance management systems.
• Conduct monitoring and testing to assess the effectiveness of compliance controls.
• Participate in risk assessments to identify and mitigate compliance risks.
• Prepare detailed audit reports and escalate findings as necessary.
• Collaborate with various departments to ensure timely resolution of compliance issues.
• Stay updated on regulatory changes and industry best practices related to consumer compliance.

Qualifications:

• Experience: 6+ years in AML, audit, legal, or compliance roles within the financial services industry.
• Skills: Strong leadership, communication, and client service skills.
• Education: Bachelor's degree (advanced degrees preferred).
• Travel: Willingness to travel as needed.

Preferred Qualifications:

• Professional certifications such as Certified Internal Auditor (CIA), Certified Regulatory Compliance Manager (CRCM), or similar.
• Experience with credit card and deposit account products.