Senior VP Compliance Audit Lead


New York | New York

Position type


Job Description

Our client – a small bank with great opportunities is seeking an FVP and VP It Audit.  If you are looking for a dynamic, hands on opportunity – this role is for you. 

Job Summary

Lead and execute information technology audits encompassing the areas of IT general controls, application controls, IT processes, project management and data integrity audit projects/initiatives utilizing information technology control frameworks, such as NIST CSF, ITIL, COBIT, and FFIEC, or other relevant regulatory guidance (e.g., NYSDFS 500, GLBA, etc.), where applicable.

Job Description

Essential functions include:

  • Support development of risk-based audit program, document and execute test steps and high-quality working papers for IT and integrated application audits, with alignment to current regulatory requirements and expectations (e.g. FFIEC, NYSDFS 500, GLBA, etc.) and emerging risks.
  • Proactively contribute to the timely updating of auditable entity risk assessments in support of the development and maintenance of the audit plan, while taking in account IT audit standards and frameworks (e.g., ITIL, COBIT, FFIEC, ISO 17799, ISO/IEC 27002, etc.), data security and privacy regulations, emerging regulatory themes, and industry best practices.
  • Stay abreast of industry IT trends to identify potential issues and risks, as well as relevant best practices, laws, rules and regulations impacting financial institutions and ensuring that the changes are incorporated into the audit planning and risk assessment process.
  • Execute all phases of high value IT audits, identify risks, assess mitigating controls, determine "root causes” and make value-add recommendations to improve the control environment through well-developed audit reports.
  • Leverage knowledge of systems and data to perform and document all reviews in a manner consistent with acceptable professional standards, including supporting audit procedures, findings and results. Follow-up on open audit issues and validate their resolution, review evidence of closure of findings and determine that evidence of remediation is appropriate to effectively mitigate the risks raised.
  • Develop strong collaborative relationships with stakeholders and serve as a trusted risk and control advisor while maintaining objectivity and independence in both fact and appearance.
  • Participate in department-wide initiatives and perform other duties as assigned.



  • 7 – 9 years of information technology audit experience in financial services and/or public accounting firm.
  • Demonstrated experience in leading and executing all aspects of the audit lifecycle, including planning, risk assessment, scoping, detailed testing, reporting, issue follow-up and validation.
  • Strong project management and time management skills, ability to effectively balance competing priorities, and demonstrated success in delivering on-time and on-budget work product.
  • Bachelor's degree in Information Technology, Business, Accounting, Finance or related field is required.
  • Knowledge, understanding and experience in one or more information technology risk and control areas including logical and physical security, system development lifecycle (e.g. Agile and Waterfall), change management, IT operations, business continuity management and infrastructure (network, operating systems, databases, data center, etc.).
  • Knowledge and experience utilizing relevant industry frameworks and regulatory guidance (e.g. COBIT, ITIL, NIST, FFIEC, ISO 27002, etc.) and applicable banking regulations.
  • Demonstrated ability to adapt quickly to changing demands and environment and rapidly develop in-depth knowledge of new audit areas.
  • Excellent verbal and written communication skills and ability to professionally and effectively interact with all levels of management.
  • Ability to utilize appropriate tools to enhance the audit process.


One of the following certifications is preferred:

  • Certified Information System Auditor (CISA)
  • Certification specific to the information technology industry such as, Certified Information Systems Security Professional (CISSP), Certified in Risk and Information Systems Control (CRISC), Certified Information Privacy Professional (CIPP), Certified in the Governance of Enterprise IT (CGEIT), Certified Information Security Manager (CISM).

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