Audit Project Manager – Regulatory Compliance

Responsibilities

• Supervising audit staff in the completion of audit engagements, ensuring the highest quality work delivered timely
• Assessing work performed by staff by providing coaching notes relevant to the scope, accuracy, and completeness of work performed
• Performing sufficient reviews to ensure work contains relevant facts to support audit scope and conclusions and adhere to internal audit policies and procedures
• Reviewing issues to ensure potential exposures and significance are included, root causes are identified, and operationally effective and cost‑effective actions to address those causes are developed into appropriate recommendations
• Completing or assisting managers in planning audit engagements, including identifying and analyzing business processes, key risks and critical controls; interviewing auditees; determining audit scope; evaluating control design adequacy; and developing audit programs which provide sufficient guidance for testing control performance effectiveness and making evaluations which effectively achieve audit objectives
• Assisting the managers in reporting and wrap‑up phases of audits, including appropriate disposition of issues and drafting audit reports which include issues
• Monitoring progress of audit engagements against plan and schedule, including making necessary adjustments and promptly completing work paper reviews on a timely basis to ensure all issues are identified and dispositioned prior to report draft issuance
• Providing on‑the‑job training for staff, including business knowledge of products, services, and delivery systems; company policies and procedures; applicable laws and regulations; and formal/informal control frameworks
• Collaborating across the three lines of defense regarding business processes, risks, and controls
• Coordinating audit activities by integrating other internal audit subject matter teams (Information Technology, Anti‑Money Laundering, Compliance, Risk Management, Treasury, etc.) to ensure appropriate and efficient coverage of business products, services and processes
• Managing the team's workload to assist other audit teams when resources are needed for areas of higher risk
• Performing other duties as requested by management

• Bachelor's degree, or equivalent work experience
• Typically, more than six years of applicable experience
• Previous experience in internal audit within a banking environment or large financial institution
• Excellent verbal and written communication skills
• Strong critical thinking and analytical skills
• Proven adaptability to changing priorities
• Ability to manage multiple tasks and deadlines simultaneously
• Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Considerable understanding of the business line's operations, products/services, systems, and associated risks/controls
• Considerable knowledge of Risk/Compliance/Audit competencies and ability to hold others accountable on individual projects
• Advanced process facilitation, project management, and analytical skills for complex processes
• Thorough understanding of Institute of Internal Auditors (IIA) Standards and the common definition of internal controls
• CIA, CRCM, CPA or other relevant professional designation or advanced degree

• Audit Engagement Planning
• Control Design Evaluation
• Audit Program Development
• Work Paper Review
• Root Cause Analysis
• Regulatory Compliance
• Process Facilitation
• Business Process Analysis
• Critical Controls Assessment
• Audit Reporting

• Coaching and Training
• Adaptability
• Time Management
• Collaboration
• Critical Thinking

• CIA
• CRCM
• CPA