Senior Audit Manager, Risk & Compliance

Position Overview

The Senior Audit Manager, Risk & Compliance has primary responsibility for providing independent assurance including testing of internal controls, procedures and risk management systems within second line Risk and Compliance Functions as well as other related business areas. The responsibilities include performing risk assessments of auditable universe(s), risk analysis of each engagement and determining the scoping requirements for the assurance work assigned. This role will also represent the audit department in meetings with key stakeholders as well as assist in the development and execution of the risk-based audit plan.

Duties and Responsibilities

• `Plan and organize internal audit assignments to determine the adequacy and effectiveness of internal controls and systems of risk management, and efficiency of operations in the assigned business units, functions or activities
• Represent the Internal Audit Department in an advisory capacity in assisting auditees in the assessment of internal controls, procedures, systems, etc. as assigned
• Perform risk analysis, identify internal controls, and design and execute audit tests of controls and transactions in accordance with internal audit professional standards
• Function in various roles on audit engagements, including leading audits and providing consulting functions based on the needs of the team
• Perform preliminary risk analysis on each audit engagement to assist in scoping decisions
• Manage Internal Audit staff that are assigned to work on assigned audit engagements
• Review and approve audit workpapers and write-ups performed by staff
• Serve as Subject Matter Expert (SME) in one or more functional areas as assigned by the Chief Audit Executive (CEA) and/or the Director providing guidance and oversight to other auditors performing engagements in subject matter areas
• Resolve review notes from review of audit workpapers
• Prepare audit reports for management's review of exceptions and control deficiencies noted during the audit
• Prepare complete audit workpapers to support audit work performed and conclusions drawn for each area under review
• Perform follow-up as necessary to confirm resolution of the audit findings

• Recommend changes and improvement to audit department processes and methodologies
• Keep current with industry trends and SME areas assigned to ensure key risks and processes are identified
• Participate in all required compliance training, including Bank Secrecy Act/anti-money laundering training, as well as internal and external training programs, online training, meetings

Knowledge, Skills, and Abilities

• Education:

Bachelor's degree

• Experience:

7+ years of audit experience with an emphasis in banking regulation, risk management, and regulatory compliance.

• Certification:
  • At least one related certification such as CRCM, CIA, CISA, CRISC, CISM, etc.
• Required Skills:
  • Ability to plan and organize internal audit assignments to determine the adequacy and effectiveness of internal controls and systems of risk management, and efficiency of operations in the assigned business units, functions or activities
  • Represent the Internal Audit Department in an advisory capacity in assisting auditees in the assessment of internal controls, procedures, systems, etc. as assigned
  • Perform risk analysis, identify internal controls, and design and execute audit tests of controls and transactions in accordance with internal audit professional standards
  • Function in various roles on audit engagements, including leading audits and providing consulting functions based on the needs of the team
  • Perform preliminary risk analysis on each audit engagement to assist in scoping decisions
  • Manage Internal Audit staff that are assigned to work on assigned audit engagements
  • Review and approve audit workpapers and write-ups performed by staff
  • Serve as Subject Matter Expert (SME) in one or more functional areas as assigned by the Chief Audit Executive (CEA) and/or the Director/Senior Director providing guidance and oversight to other auditors performing engagements in subject matter areas
  • Resolve review notes from review of audit workpapers
  • Prepare audit reports for management's review of exceptions and control deficiencies noted during the audit
  • Prepare complete audit workpapers to support audit work performed and conclusions drawn for each area under review
  • Perform follow-up as necessary to confirm resolution of the audit findings
  • Recommend changes and improvement to audit department processes and methodologies
  • Keep current with industry trends and SME areas assigned to ensure key risks and processes are identified
  • Participate in all required compliance training, including Bank Secrecy Act/anti-money laundering training, as well as internal and external training programs, online training, meetings

Supervisory Responsibility

While this position does not include direct reports, it is expected to contribute to the coaching and development of other team members.

Working Environment and Physical Demands

This position is on-site, in a professional office environment.

Physical requirements: Must be able to work extensive hours at a desk, both independently and collaboratively with other team members.

This position requires minimal travel outside of primary work location.

Position Type

This is a full-time position

Other

We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin, religion, sexual orientation, gender identity and/or expression, status as a veteran, and basis of disability or any other federal, state or local protected class.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.