Sr. Compliance Auditor

At FNBO, our employees are the heart of our story-and we're committed to their success! Please see below the details of this career opportunity and how it fits into our organization's success.

The Senior Compliance Auditor is responsible for planning and leading audits of assigned business units and affiliates. As the in-charge auditor, the Senior Compliance Auditor is responsible for assessing risks, evaluating controls and designing appropriate audit tests. The Senior Compliance Auditor will maintain working knowledge of federal consumer protection laws and regulations applicable to retail banking, lending, and deposit operations. The Senior Compliance Auditor will assist the manager with the risk assessment process used to aid the department in the development of the annual audit plan.

The Senior Compliance Auditor supervises audit staff and interns/cohorts on audits and provides timely coaching feedback and reviews their audit documentation.

Audit Oversight and Consulting:
Maintain a comprehensive knowledge of banking risks, laws, regulations and industry best practices. Effectively provide audit consulting services to FNBO/FNNI -

• Maintain level of expertise through ongoing and continual review of regulatory and industry publications, with particular focus on federal consumer compliance regulations (e.g., Regulation Z, Regulation B, FCRA, UDAAP, BSA/AML, CRA, HMDA/Regulation C, Regulation E, Regulation DD, etc.) and guidance issued by the applicable regulators (CFPB, OCC, etc.), to stay aware of new developments impacting the organization.
• Research and resolve escalated issues from team members and/or internal business partners. Demonstrate ability to solve problems and drive positive change with assistance from the Audit Managing Director.
• Work with stakeholders on audit related and risk management initiatives to ensure the organization is taking appropriate actions to meet the goals and strategic plans of the organization.

Responsible for delivering audits on time, within budget and meeting the strategic and audit/business requirements.

• Audit Planning
  - Analyze business functions and risk of assigned internal business partners and assist in setting the audit scope and developing the related Audit Program Guides. Promote and execute an integrated and collaborative audit approach. Obtain input from other teams and identify and accept cross-training opportunities within the department.
• Fieldwork
  - In addition to performing and documenting assigned audit procedures, delegate tasks to provide meaningful development opportunities for team members, review all work papers for quality and accuracy and ensure completion of audit tests, information gathering, and evaluation of results in support of audit objectives.
• Wrap-up
  - Report audit results to management. Identify and produce issue summaries that clearly state the business objectives; understand root cause and provide possible resolutions. Provide Audit Managing Director with feedback on audit team members.

Aid manager in the continuous risk assessment processes by updating Audit Universe Assessments (AUAs) as appropriate. Provide input based on in depth auditing knowledge to add efficiency. Examples include: automating audit steps using tools such as data analytics, continuous audit opportunities, or integrated audit opportunities.

Coach team members to maintain or exceed established standards of productivity and quality of business partner interactions.

• Promote a productive team environment by building trust and making team members feel valued and respected through active listening and encouragement.
• Research and resolve escalated issues from team…