Senior Compliance Auditor

Compliance Audit Manager

About Us
Permanent Placement Solutions is an executive search firm that specializes in the recruitment and placement of high caliber professionals.

About The Company
Well known fortune 500 financial services company

The Corporate Audit Division is committed to providing an enterprise level and independent audit program that meets the highest professional standards. The Compliance Auditor will be instrumental in the execution of compliance assurance and risk management services across the Corporation’s compliance functions. The successful candidate possesses a working knowledge of key banking and financial services compliance regulations and practices and has recent experience working in a Financial Institution or Regulatory Environment. In addition to developing relationships with business managers, the successful candidate will:
Develop and execute compliance related audit work programs utilizing department standards
Execute on all aspects of audit methodology including planning, preparation of written scope documents, work papers and audit reports, fieldwork, and audit issue follow-up activities
Prepare and present audit recommendations to business unit management to improve the internal control environment and gain efficiencies
Research, interpret, apply compliance regulations to business area audits
Serve as subject matter expert for compliance with laws and regulations to other audit groups
Understand key business objectives and associated risk factors in regards to regulatory compliance
Participate in risk mitigation sessions for new projects or processes and ensure that all significant regulatory risks are identified and accounted for appropriately.
Actively participate in team meetings and recommend/contribute to continuing improvement initiatives
Undertake special projects as required
REQUIREMENTS
The successful candidate will have working knowledge of key banking laws, regulations, and regulatory guidance including, but not limited to, Consumer Protection, Anti-Money Laundering/OFAC, Fair Lending, Community Reinvestment Act, Privacy, Loans to Insiders, Transactions with Affiliates, Bank Bribery Act and Foreign Corrupt Practices Act. Candidates must have related experience in a diversified Financial Services Institution. Candidate must have strong organization, communication, and relationship management skills. Other specific qualifications include:
Minimum 4-6 years of regulatory compliance experience (internal audit experience preferred)
Strong analytical and problem solving skills
Ability to recognize and assess compliance risks
Solid interpersonal and relationship building skills, including ability to work in a team environment
Excellent oral and written communication skills
Ability to manage multiple, concurrent activities in a timely manner and drive to completion
Preferred:
Advanced business degree or CIA, CRP or CRCM certification
Financial services industry experience
Compensation:
Commensurate with experience
Generous base salary, incentive bonus, and comprehensive benefits

CareerBuilder Related Terms:

Compliance, Banking, Regulatory, audit, laws, regulations, "Consumer Protection", AML, "Anti-Money Laundering", OFAC, "Fair Lending", CRA, Privacy, "Loans to Insiders", Bank Bribery Act", "Foreign Corrupt Practices Act", CIA, CRP, CRCM, TILA, "Truth & Lending", BSA, Consumer