Compliance Audit Manager Job San Francisco California USA,Finance & Banking

Happen Bank Internal Audit provides independent, objective assurance and consulting services that strengthen the company’s operations
As trusted partners, we help the business achieve its goals by taking a systematic and disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes
As Happen Bank continues to grow and evolve, so does our Internal Audit team
In this role, the candidate will bring internal audit and financial services experience to deliver audit assurance and to help innovate the function’s methods, tools, and assurance capabilities
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 Internal 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
As a Compliance Audit Manager, you will 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

Benefits

Untracked vacation for salaried employees, which means take it when you need it, and generous paid time off for hourly team members
A hybrid work model that balances in-office and work from home
Leading health and safety protocols related to COVID, including complimentary at-home testing kits from Cue Health for those coming to the office
Up to 16 weeks paid leave for new parents, plus a fully paid, phased return-to-work policy for qualified leaves
Mothers Rooms and hospital-grade pumps in every LC office
Generous and varied mental health benefits
Wellness program with cash incentives — earn up to $75 per month for being active
Paid volunteer time and donation matching
Onsite gym, locker room, bike room, and fitness classes (depending on location)
Café with our own in-house barista
Stocked pantries with healthy snacks and drinks
Technology-forward and collaborative office spaces

Qualifications

We’re looking for an experienced and adaptable Compliance Audit Manager who thrives in a dynamic environment and embraces change
Demonstrated ability to lead and motivate a collaborative audit team on complex engagements
Advanced written and verbal communication skills, with the ability to clearly articulate insights and influence stakeholders
Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain)
Bachelor’s degree or higher, or equivalent combination of education and experience
Experience with audit management tools (e.g., Optro)
Curious, adaptable, and proactive, with a passion for continuous improvement and driving meaningful impact
Strong analytical and critical-thinking skills, including proficiency with Excel and data analytics
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
6+ years of Internal Audit or related experience, ideally within financial services
Excellent organizational skills and the ability to manage multiple priorities effectively

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