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Sr. Compliance Audit Manager - Remote

Dallas, TX · Accounting/Finance
We are currently seeking a talented Sr. Compliance Audit Manager for remote opportunity or you can work in our Dallas, San Antonio or Phoenix office or even remote.

MUST have Large Financial / Banking Institution Experience.

The Senior Audit Manager on our Compliance team performs as a Subject Matter Expert (SME) on Compliance matters and provides consultations and guidance to other audit teams on the regulatory coverage

The Senior Compliance Audit Manager plans, directs and independently completes highly complex and often unique risk-based assurance and advisory engagements in the field of business operations, finance, compliance and/or information technology. Manages strategic initiatives. Assists with the development and implementation of a risk-based audit plan. Performs one or more of the following activities: serves as a business and/or information technology SME; analyzes issues and makes decisions; establishes collaborative client relationships; and proactively works with client management to improve internal controls. Adheres to the Institute of Internal Auditors' Standards and Code of Ethics.

This position serves as a lead and is reserved for employees with significant professional experience and a high level of subject matter expertise in their field.
Job Requirements
  • As a subject matter expert, provides recommendations to leadership and guidance to staff members. Promotes the development of effective team relationships and functions in various capacities to ensure the success of team efforts. Approves the scope of the audit. 
  • Updates and ensures the universe risk assessment is current with applicable research and industry feedback.
  • Independently prepares, reviews, and leads special reviews, investigations, monitoring activities, and work for external auditors and/or regulators. Ensures assigned engagements are completed objectively, professionally, and in accordance with corporate and industry audit standards.
  • Executes and leads audit fieldwork on assigned internal audit engagements with limited to no supervision in support of execution of the annual audit plan. Manages engagement-related efforts and assignments of staff with varying degrees of expertise and experience when conducting engagements, specialized audits or highly complex business audits recognizing the cross-matricing and cross-functionality within the specialized functions/business areas.
  • Coaches and mentors others on the use of various business systems, applications, and audit tools.
  • Proactively identifies control weaknesses and opportunities for improvement in the current operating environment and provides recommendations for corrective action. Drafts the related audit issues and audit reports for issuance to respective client leadership and conducts follow-up activities as defined in the observations.
  • Provides input into the creation of the internal audit universe and annual plan. Participates in the development of the strategic annual plan ensuring risks are appropriately identified and rated and assists with the implementation of the annual plan.
  • Builds and enhances client relationship across the organization helping to drive strategic objectives with the business.  Communicates with the business/clients to include delivering difficult messages.  May be asked to communicate with regulators and executive leaders.
  • Influences business and clients across the enterprise in regards to effective internal controls and mitigating risks across the full taxonomy.
Minimum Requirements
  • Bachelor's degree in Accounting, Finance, Information Technology, or other relevant field required or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree AND 8 or more years of relevant audit experience and accountability for complex tasks and/or projects required
  • Subject matter expert knowledge in Audit theory with demonstrated experience in one or more of the following areas: consumer regulations, regulatory, AML, GSD, compliance, risk, models, IT.
  • Subject matter expert level business acumen in business operations, industry practices, and emerging trends.
  • CRCM (Certified Regulatory Compliance Manager)
  • 6+ years experience in large retail bank internal audit departments’, OR equivalent audit experience
    • Equivalent = minimum 6 years as:
      • Federal Regulator for banks (FDIC, OCC, Federal Reserve) with experience supervising large banks with assets > $80B
      • Top tier firm (Big 4, Protiviti, Treliant etc.) with experience auditing or consulting with large banks with assets > $80B
  • 6+ years experience as a Federal Reserve Regulator in large bank supervision.
  • Advanced knowledge of internal controls, compliance (including holistic evaluation of compliance management systems (CMS)), business and information technology risks and/or audit techniques in a large retail bank environment.
  • Advanced knowledge of the regulatory environment for financial services.
  • Experience with audit engagement support tools including electronic workpapers.
  • Proficiency in the use of data mining and analytic tools for auditing such as ACL, and SAS
To be considered for this exciting growth opportunity, please apply now.
For more information, please apply below or contact us
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