Audit Manager Consumer Compliance

Job Description :

This job is responsible for overseeing assigned areas of audit work acting as an AuditorinCharge (AIC) and executing on the audit strategy for Lines of Business (LOBs).

Key responsibilities include driving riskbased auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies assessing issues for business impact and recommending severity ratings drafting audit reports and managing business partner relationships.

Job expectations include fostering an inclusive work environment and mentoring team members.

Responsibilities :

• Executes audit strategy for the sound application of riskbased auditing by defining audit scope and audit programs and drafting audit reports leveraging automation and innovative methods in a timely and high quality manner
• Acts as AuditorinCharge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards audit policies and procedures
• Assesses impacts to business processes controls and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge
• Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit
• Oversees a team of associates and provides daytoday mentoring and guidance and fosters an inclusive work environment
• Maintains business partner relationships primarily with line management to develop business knowledge
• Exercises sound knowledge of product business and technical expertise to effectively challenge management to improve the control environment

Skills :

• Consumer Compliance
• Internal Audit Review
• Audit Planning
• Analytical thinkin
• Issue Management
• Risk Management
• Business Acumen
• Coaching
• Project Management
• Relationship Building
• Written Communications
• Attention to Detail
• Automation
• Critical Thinking
• Technical Documentation

Required Qualifications :

• Minimum 8 years Audit or risk control risk / controls background preferably in financial services.
• A minimum of 3 years in a lead auditor / AuditorinCharge (AIC) role or equivalent experience.
• Risk assessment skillset to enable evaluation of processes and other operational risks identification of controls and determination of gaps and weaknesses.
• Strong written / verbal communication skills with the ability to communicate issues / concerns and recommend corrective course of action.

Capability to effectively influence risk direction and willingness to take a stand when required.

Intellectual curiosity to identify areas of risk coupled with the analytic logical reasoning and problem solving risk vs.

reward skills to effectively and objectively investigate / evaluate areas of risk.

• Ability to manage audit projects within a riskbased audit methodology and provide coaching and training to junior associates within the team.
• Must have good time management skills and the ability manage multiple priorities in a fastpaced environment.
• Ability to work well and collaboratively as part of a team and function independently when required.
• Ability to plan execute and evaluate audit test plans within a riskbased audit methodology.
• Strong analytical skills. Ability to analyze large amounts of data and turn it into usable information.
• Ability to successfully communicate to influence management and lead change in both strategic and tactical initiatives.
• Demonstrated experience assessing risks processes and controls to comply with laws / regulations for and / or across multiple laws / regulations businesses and products
• Bachelors degree and / or Advanced degree with relevant experience.

Desired Qualifications :

• Certified Internal Audit (CIA) certification
• Audit or risk control risk / controls background in financial services
• Prior Analytical / Automation Skills (SQL SAS Python. Alteryx Advanced Excel)
• Advanced degree or certifications (CIA CISA etc CPA Preferred)
• Certified AntiMoney Laundering Specialist (CAMS) Certified Internal Auditor (CIA) Certified Public Accountant (CPA) Certified Regulatory Compliance Manager (CRCM) or Certified Fraud Examiner (CFE)

Audit Management,Consumer Compliance