Compliance Audit Manager

Responsibilities

• Lead and perform moderate to high-complexity audit work with limited supervision
• Identify key risks across end-to-end processes and develop risk-based audit scopes and test plans
• Execute and document audit procedures in accordance with Institute of Internal Auditors (IIA) standards
• Provide guidance and mentorship to audit team members throughout audit execution, fostering collaboration and professional growth
• Partner with business leaders to validate findings, identify root causes, and agree on practical, sustainable corrective actions
• Monitor management’s progress on remediation efforts and validate completed actions
• Support department-wide projects and initiatives to enhance Internal Audit methodologies, tools, and assurance capabilities
• Own and advance the Bank's established Compliance and Financial Crimes Compliance coverage strategies
• Stay current on emerging audit standards, regulatory changes, and industry trends, and share insights with the broader team
• Leverage artificial intelligence throughout the audit lifecycle to enhance efficiency, consistency, and insight generation
• Work cross-functionally to advance the Bank's compliance monitoring capabilities toward real-time, continuous compliance auditing

• 6+ years of Internal Audit or related experience, ideally within financial services
• Bachelor's degree or higher, or equivalent combination of education and experience
• Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain)
• Strong analytical and critical-thinking skills, including proficiency with Excel and data analytics
• Excellent organizational skills and the ability to manage multiple priorities effectively
• Advanced written and verbal communication skills, with the ability to clearly articulate insights and influence stakeholders
• Experience with audit management tools (e.g., Optro)
• Working knowledge of key regulations, including consumer protection laws and BSA/AML/OFAC programs
• Curious, adaptable, and proactive, with a passion for continuous improvement and driving meaningful impact

• internal audit
• data analytics
• audit procedures
• risk-based audit scopes
• test plans
• compliance monitoring
• financial crimes compliance
• Excel proficiency
• artificial intelligence in auditing
• audit management tools

• analytical skills
• critical-thinking skills
• organizational skills
• communication skills
• mentorship
• collaboration
• adaptability
• proactivity
• curiosity
• continuous improvement

• CIA
• CISA
• CPA
• CAMS
• CRCM