Senior Auditor - Compliance

Bonus Type

Summary

Assure, advise and add value to our team! Looking for a job where a passion for innovation and opportunities for growth are valued and a culture of teamwork exists? Look no further.

Job Description

The Senior Auditor - Compliance provides an objective evaluation of internal controls, risk management and governance processes through the assessment of operational efficiency, financial reporting, and compliance with legal and regulatory standards as well as detecting, investigating and deterring all types of fraud.   In executing the responsibilities of this position, the incumbent collects, examines and analyzes detailed policies, reports, financial statements, operating procedures and processes for audits related to compliance with lending, deposit, operational and fiduciary regulations which vary in degree of complexity and which require a high order of analytical, interpretive, and/or constructive thinking in varied situations.

The incumbent’s work incorporates auditing standards, guidance and frameworks issued by the Public Company Accounting Oversight Board (PCAOB) and the Committee of Sponsoring Organizations of the Treadway Commission (COSO), as well as state and federal banking regulatory agencies, including, but not limited to the Office of the Comptroller of the Currency and the Federal Reserve.     

Team Culture

How You'll Spend Your Time

• You’ll collect, examine, analyze, and review documentation. You’ll study policies and procedures, the Bank’s risk and controls and financial statements. You’ll also spend time reviewing business processes, control framework and business units across the company.
• Every day you will pursue our mission with your teammates and drive results consistent with our goals and objectives. You will take personal ownership of your work while looking for ways to improve processes and mitigate risks.
• With guidance from your manager and senior members on audit team, you’ll establish engagement objectives and create risk based test plans.
• You may review work of others to ensure audit engagement and report are completed timely, effectively and accurately.
• You will perform special projects as directed by management and researches current industry, financial reporting and regulatory issues to build upon knowledge base and develop a basis for identifying trends.

Education & Experience Requirements

This level of knowledge is normally acquired through a Bachelor's degree in Finance, Accounting or related discipline in addition to 2 to 4 years related experience. 

• Strong general knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
• Strong knowledge of Compliance regulations (Consumer Compliance Audit) or Fiduciary and Securities regulations: 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules, Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board (Wealth Compliance Audit)
• General knowledge and understanding of banking rules, regulations, and operations
• Working towards or completed CPA, CIA, CISA, CRCM, CAMS, CFIRS or other pertinent certification
• Ability to define abstract and concrete problems, establish facts and draw valid conclusions
• Strong ability to effectively communicate both verbal and written information and respond to questions in-person as well as small group situations
• Ability to effectively plan time, method, manner and sequence of own work assignments.
• Advanced Word, Excel and PowerPoint skills

Working Conditions & Physical Requirements