Description
The Manager, Audit & Regulatory Compliance is a hands-on individual contributor responsible for leading internal audits, supporting environmental compliance initiatives, and managing key legal and regulatory intake processes. Reporting to senior leadership within the audit or legal function, this role ensures audit execution, regulatory intake, document production, and records governance are handled with a high level of accuracy, consistency, and defensibility.
This position works cross-functionally with Legal, Environmental Compliance, Risk Management, Operations, and external counsel. It is well suited for professionals with experience in audit, compliance, or legal operations who are looking to expand their impact across enterprise risk, regulatory, and governance activities.
Key Responsibilities
Audit & Regulatory Compliance
- Lead and execute internal audits across legal, regulatory, and compliance-related functions, including planning, fieldwork, documentation, and reporting.
- Conduct risk-based assessments to identify control gaps, compliance risks, and process inefficiencies; develop practical, actionable recommendations.
- Track audit findings, management responses, and remediation efforts through to resolution.
- Support external, regulatory, and litigation-related audits and inquiries as needed.
Environmental Compliance Support
- Partner with Environmental Compliance teams to support audit readiness for inspections, agency inquiries, and third-party reviews.
- Assist with tracking, organizing, and validating compliance documentation in support of audits and regulatory requests.
Regulatory & Legal Intake Governance
- Manage intake, logging, and tracking of subpoenas, legal notices, and regulatory requests, including coordination of internal document collection in accordance with legal holds, retention requirements, and response deadlines.
- Maintain centralized logs, databases, and document repositories to support traceability, audit readiness, and regulatory oversight.
- Coordinate with outside counsel on document production for regulatory and litigation matters, serving as a key liaison between internal stakeholders and external legal partners.
- Review outside counsel invoices for accuracy, adherence to billing guidelines, and alignment with approved matters.
Requirements
- Bachelor’s degree in Business Administration, Risk Management, Accounting, Finance, Legal Studies, or a related field required.
- 5+ years of progressive experience in compliance, audit, risk management, legal operations, or a related function.
- Strong understanding of internal controls, documentation standards, and audit methodologies.
- Excellent organizational, analytical, and problem-solving skills with strong attention to detail.
Work Location: In person
