Senior Compliance Auditor - Financial Services

Buckingham Search - Chicago, IL

An international bank located in the heart of downtown Chicago is growing their Internal Compliance/Audit team focused on Credit Risk Management, Commercial Banking, and Capital Markets!

Things to get excited about:

  • Downtown location & Headquarters
  • Competitive salary + Bonus
  • Competitive Benefits
  • Ability to rotate out of this team into great positions across the business
  • Tuition reimbursement program
  • Summer hours
  • Great work-life balance and minimal overtime
  • 4 work from home days a month, as well as other flexibility to work from home when needed

Key Responsibilities:

  • Perform work under the direction of the Internal Audit Manager on individual or multiple audit assignments
  • Determine the audit scope in conjunction with the Audit Manager that addresses key regulatory requirements and provides sound third line of defense risk-based coverage
  • Identify risks and corresponding controls
  • Execute and document testing procedures, including test of design, test of effectiveness and substantive testing to ensure results support audit conclusions and adherence to department’s audit methodology and IIA Standards
  • Determine suitability of, and adherence to, policies and procedures
  • Identify reportable issues and associated risks
  • Verbally communicate findings to senior management and draft comprehensive audit reports
  • Build solid relationships with clients by identifying and addressing client needs
  • Use technical resources and tools to research and expand upon knowledge
  • Monitor individual workload to meet project milestones and keep team members and leadership informed on progress and issues
  • Provide candid, meaningful, and timely performance feedback


  • Bachelor’s degree in Accounting or Finance
  • CPA, CIA, or MBA or progress toward obtaining these certifications are preferred
  • 4+ years of audit experience, through public accounting/auditing (Big 4 a plus) and/or industry experience
  • Experience auditing CRM, CB, or CM activities and/or experience within these processes is highly encouraged
  • Knowledge and/or experience working in or auditing at a broker-dealer (e.g. FINRA, SEC and/or NFA regulated firm)
  • Ability to work in areas of difficult, complex, and dynamic nature
  • Strong research & analytical capabilities
  • Excellent written/verbal communication, interpersonal, and relationship-building skills
  • Strong project management skills, including the ability to adapt to change quickly, multi-task and demonstrate flexibility in prioritizing and completing tasks
  • Exemplify a positive attitude, strong work ethic, teamwork and professionalism

Posted On: Friday, July 24, 2020

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