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Senior Compliance Audit Manager

Date Posted: 9/10/2023

Job #1630480
Chicago, Illinois

Senior Compliance Audit Manager
Provides people management leadership by hiring the best talent, setting goals, developing staff, managing employee performance and compensation decisions, promoting teamwork and handling any/all disciplinary actions, as required 
• May support audits for a particular business, function or project as a subject matter expertise
Highly specialized expert with in-depth knowledge to manage audits for multiple, significant complex businesses, functional areas and/or global business lines •
• Directs, oversees, plans and executes efficient and effective audits to ensure appropriate coverage for areas of expertise
• May leads and execute audits and has an overall responsibility for the completion of the audit
• Evaluates internal and external risks for assigned business lines
• Communicates recommendations and process improvements to management in area(s) of expertise
• Monitors business line projects
• May contribute to, and/or review, area(s) of expertise in the final audit report following CAE review and approval
• Provides meaningful recommendations to audit procedures and programs
• Completes Post Audit Feedback Form for self
• Communicates status and escalate issues
• Clears review notes following each review
• Participates in post-audit critique meeting
• Participates in completion of the quarterly Control Dashboard process
• Reviews reports from QA team, peer reviews and Regulator feedback and makes necessary enhancements, as required
• Contributes to completion of the annual RAP and Annual Audit Plan for assigned area(s)

• Bachelor's degree required; Master's degree preferred
• 8+ years related experience required; Banking experience preferred
• Relevant certification required • PC skills (MS Office Suite)
• Excellent oral and written communication skills
• Advanced level of critical thinking, risk based decision making, problem solving and conflict resolution skills
• Travel 35% or more • Works well independently and with others
• Completes tasks timely and accurately • Escalates issues and delays quickly • Effectively manages competing priorities for self
• Thrives in fast-paced and challenging environments
• Advanced skills in building and maintaining relationships within, and external, to audit
• Strong ability to develop relationships with the business while conducting audits • Consults assigned lines of business (trusted advisor)
• May manage a team of professional resources indirectly and actively trains /coaches audit staff

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