Lead Compliance Auditor

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—while maintaining professional independence
• Monitor management’s progress on remediation efforts and validate completed actions
• Support department-wide projects and initiatives to enhance LCIA’s audit methodologies, tools, and assurance capabilities
• Own and advance the Bank's established Compliance and Financial Crimes Compliance coverage strategies, refining them over time to ensure complete regulatory coverage with risk-proportionate auditing
• 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, including annual planning, risk assessment, audit planning, fieldwork, and reporting, to enhance efficiency, consistency, and insight generation
• Work cross‑functionally to advance the Bank's compliance monitoring capabilities toward real‑time, continuous compliance auditing through the application of data analytics, AI, and LLMs

• 5+ years of Internal Audit or related experience, ideally within financial services
• Bachelor’s degree or higher in a related field; or equivalent work experience
• Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain)
• Demonstrated ability to lead and motivate a collaborative audit team on complex engagements
• 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., Audit Board)
• Working knowledge of key regulations, including consumer protection laws (e.g., ECOA/Reg B, EFTA/Reg E, TILA/Reg Z, EFAA/Reg CC) and BSA/AML/OFAC programs
• Curious, adaptable, and proactive, with a passion for continuous improvement and driving meaningful impact