Regulatory Audit SME

Overview

Remote
Depends on Experience
Accepts corp to corp applications
Contract - W2
Contract - Independent
Contract - 12 Month(s)
10% Travel

Skills

Regulatory Audit

Job Details

Position: Regulatory Audit SME (Reg W)
Location: New York City, NY (Preferred) | Baltimore, MD or Remote (Hybrid Onsite)
Duration: 12+ Months

Position Overview

We are seeking two experienced Regulatory Audit Subject Matter Experts (SMEs) specializing in Reg W-related regulations to support internal audit reviews for a leading financial institution. The ideal candidates will bring extensive experience in regulatory audits across large U.S. or international banks and possess strong knowledge of affiliate transaction monitoring and control frameworks.

Key Responsibilities

  • Conduct initial reviews and control design walkthroughs to identify and document key processes, risks, and controls.

  • Prepare Initial Review Memos and Design Review Memos.

  • Develop, execute, and document control design and operating effectiveness testing related to process and control design.

  • Meet with employees and contractors to understand policies, processes, and controls within Internal Audit.

  • Review and validate control evidence to determine control effectiveness.

  • Submit testing conclusions and documentation for closure verification in systems such as OpenPages.

  • Report findings and updates to Authorized Senior Leaders within the Internal Audit group.

  • Ensure audit deliverables meet internal standards and compliance frameworks.

Required Skills & Experience

  • 10+ years of experience in Regulatory Audits for major U.S. or international financial institutions (e.g., JPMorgan, Citi, Morgan Stanley, HSBC, Barclays, UBS, Deutsche Bank, etc.).

  • Strong understanding of Reg W regulations and affiliate transaction governance.

  • Expertise in control design, testing, and audit methodology.

  • Prior experience auditing Compliance, First Line, or Finance functions.

  • Proven project management and documentation skills.

  • Strong analytical, interpersonal, communication, and writing abilities.

  • Data analytics skills (Excel or similar tools) are a plus.

Preferred Qualifications

  • Bachelor s or Master s degree in Finance, Accounting, or related field.

  • Relevant certifications such as CIA, CISA, or CPA are advantageous.

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