Senior Auditor - Compliance

Responsibilities

• Supports the Corporate Audit Services (CAS) Compliance team by executing audit engagements to assess business processes, identify key compliance risks and controls, and evaluate control design and effectiveness.
• Performs or oversees control testing and documenting results in accordance with internal audit standards.
• Partners with Lines of Business and RCA stakeholders to strengthen risk management practices and ensure compliance with applicable laws and regulations.
• Identifies control gaps, recommends mitigation strategies, escalates risks as appropriate, and serves as a liaison across the Lines of Defense.
• Assists the audit team management in planning audit engagements.
• Performs or supervises staff auditors in the testing of controls based on audit program directions.
• Drafts audit issues under the supervision of the audit team management.
• Assists the audit team management in the reporting and wrap-up phases of audits.
• Applies insights and guidance gained through coaching.
• Performs other duties as requested by management.

• Bachelor's degree, or equivalent work experience
• Five to seven years of applicable experience
• Consumer compliance or regulatory compliance is highly preferred
• Bachelor’s degree (preferably in Accounting, Finance, Management Information Systems [MIS])
• Five or more years of experience in internal auditing, public accounting, or other relevant experience
• Strong critical thinking and analytical skills
• Ability to manage multiple tasks and deadlines simultaneously
• Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
• Advanced understanding of the business line's operations, products/services, systems, and associated risks/controls
• Advanced knowledge of Risk/Compliance/Audit competencies
• Strong process facilitation, project management, and analytical skills
• Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs
• Excellent presentation, interpersonal, written and verbal communication skills
• Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
• Applicable professional certifications preferred