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)
Experience:
• 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
