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About the role
Key responsibilities & impact- Supports the Corporate Audit Services (CAS) Compliance team by executing audit engagements to assess business processes, identify key compliance risks and controls, and evaluate control design and effectiveness.
- Performs or oversees control testing and documenting results in accordance with internal audit standards.
- Partners with Lines of Business and RCA stakeholders to strengthen risk management practices and ensure compliance with applicable laws and regulations.
- Identifies control gaps, recommends mitigation strategies, escalates risks as appropriate, and serves as a liaison across the Lines of Defense.
- Assists the audit team management in planning audit engagements.
- Performs or supervises staff auditors in the testing of controls based on audit program directions.
- Drafts audit issues under the supervision of the audit team management.
- Assists the audit team management in the reporting and wrap-up phases of audits.
- Applies insights and guidance gained through coaching.
- Performs other duties as requested by management.
Requirements
What you’ll need- Bachelor's degree, or equivalent work experience
- Five to seven years of applicable experience
- Consumer compliance or regulatory compliance is highly preferred
- Bachelor’s degree (preferably in Accounting, Finance, Management Information Systems [MIS])
- Five or more years of experience in internal auditing, public accounting, or other relevant experience
- Strong critical thinking and analytical skills
- Ability to manage multiple tasks and deadlines simultaneously
- Advanced knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business
- Advanced understanding of the business line's operations, products/services, systems, and associated risks/controls
- Advanced knowledge of Risk/Compliance/Audit competencies
- Strong process facilitation, project management, and analytical skills
- Must possess business acumen and credibility to help business line(s) proactively identify and address changing workforce needs
- Excellent presentation, interpersonal, written and verbal communication skills
- Proficient computer navigation skills using a variety of software packages, including Microsoft Office applications and word processing, spreadsheets, databases, and presentations
- Applicable professional certifications preferred
Benefits
Comp & perks- Healthcare (medical, dental, vision)
- Basic term and optional term life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation (from two to five weeks depending on salary grade and tenure)
- Up to 11 paid holiday opportunities
- Adoption assistance
- Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
internal auditingregulatory compliancerisk managementcontrol testingaudit programfinancial servicesprocess facilitationproject managementanalytical skillsbusiness acumen
Soft Skills
critical thinkingability to manage multiple taskspresentation skillsinterpersonal skillswritten communicationverbal communicationcoachingcredibilitycollaborationproblem-solving
Certifications
professional certifications