Job Description
Job Description
This role will manage regulatory compliance audits performed by in house staff or an outsourced firm and the validation work related to issues identified in Compliance audits.
This role will assist in the development of the Internal Audit Compliance Plan and the Compliance Auditable Entities Risk Assessment.
Responsibilities :
This position supports the Internal Audit team, specifically focusing on supporting audits over the Bank’s regulations, compliance risk management and integrated audits of the compliance risk and the compliance risk management program (i.
e., Enterprise Compliance Risk Assessment, Fair and Responsible Banking, change management and Compliance Quality Assurance) carried out by second line of defense and business lines.
- Partners with leaders in their assigned Line of Business, Risk / Compliance / Audit / Consultants, and other stakeholders to ensure the Internal Audit Plan remains relevant with the risks impacting the organization.
- Leads compliance audits, projects and / or activities that ensure compliance with applicable federal, state, and local laws and regulations.
- Updates the Internal Audit Compliance Risk Assessment and maintains the Compliance Universe up to date with current trends and changes in the business.
- Facilitate the identification of gaps and drive solutions that minimize losses resulting from inadequate internal processes, systems, or human errors.
- Ensures the active identification, response and / or escalation of risks as appropriate.
- Monitors and reviews the corrective action taken by management to remediate Internal Audit findings.
- May influence policies and procedures to maximize profit potential and minimize regulatory exposure.
- Accountable for building effective partnerships between with business line and second line of defense partners.
- Stay up to date with regulatory guidance and changes in the regulatory landscape.
Minimum Education and / or Certifications :
ACAMs and Certified Internal Audit Certifications preferred.
Bachelor's degree, or equivalent work experience.
Minimum Work Experience Requirements :
At least 10 years of experience, including 5 in supervisory roles.
Technical and / or Essential Knowledge :
Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business.
This includes consumer compliance lending regulations, deposit regulations, Bank holding company regulations and others applicable to mid-sized Banks.
- Advanced understanding of the business line’s operations, products / services, systems, and associated risks / controls
- Thorough knowledge of Risk / Compliance / Audit competencies
- Strong leadership and management skills of processes, projects, and people
- Effective written and verbal communication skills
- Strong analytical, problem-solving and negotiation skills
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