Audit Manager II (US) - Financial Crimes - Regulatory Issue Validation

About the role

The Audit Manager II is a senior-level leader within the U.S. Financial Crimes Regulatory Issue Validation Audit function, providing specialized in-depth subject matter expertise and responsible for Validating Regulatory Issues working through the audit methodology and working directly with impacted businesses.

Responsibilities

• Lead or serve as Auditor-In-Charge on complex regulatory audit engagements and provide day-to-day leadership, coaching, and guidance to engagement team members driving high quality, effective and timely execution of audit engagements, deadlines, budgets, and project plans.
• Oversee testing of design and operational effectiveness focused on Regulatory Issue validation as well as Internal issue validation tied to regulatory issues and manage the suite of work required to meet regulatory deadlines and internal timelines through tracking and monitoring all items within the teams scope of work.
• Supports the development and implementation of audit programs by contributing insights and assisting with planning activities.
• Executes the development of Audit Planning Memorandum (APM), Process Risk and Control Matrix (pRCM), Findings Grid and Audit Report.
• Completes L1 reviews/sign off on all audit activities (i.e. walkthroughs, test scripts, test results, grid, evidence uploads).
• Oversees / leads audits and/or execute the follow-up of findings arising from internal audits and regulatory reviews in accordance with policy.
• Oversees / leads the ongoing audit communications and/or the reporting process with the stakeholders, senior management and external auditors for specific and/or overall Audit area.
• Contributes to audit initiatives by providing input and assisting in the design and testing of solutions, as well as supporting implementation efforts.
• Leads / manages the integrated implementation of policies / processes / procedures / changes across multiple functional areas.
• Facilitates key discussions and provide thought leadership to executive audience.

Qualifications

• Undergraduate degree required.
• 7+ years of relevant experience.
• Preferred Qualifications: Experience as a former OCC, CFPB, FDIC, FRB, or NCUA compliance examiner; Banking industry audit experience with focus on Financial Crimes Compliance and issue validation; Relevant professional certifications, or other relevant industry certifications (e.g., CIA, CRCM, CAMS); Advanced knowledge of audit standards, procedures, laws, rules, and regulations; Ability to lead, plan, implement and evaluate program/project activities to ensure completion of audit; Skilled in mentoring, coaching, and performance management; Ability to work independently as well as collaboratively in a team environment; Ability to analyze, organize and prioritize work while meeting multiple deadlines; Ability to contribute to strategic direction of the audit function and provide advice to senior leadership particularly around process improvement; Proficient in Microsoft Office Suite (Excel, Word, PowerPoint).