Internal Audit

VP, Senior Audit Manager – Compliance

  • Alpharetta, GA, US
  • Stamford, CT, US

Job ID: 1900000972

Role Summary/Purpose:

This position is responsible for utilizing deep subject matter experience in bank and consumer compliance to lead the planning and execution of Compliance audit engagements that review the design and effectiveness of the bank’s control environment, as well as validation of corrective actions.

Essential Responsibilities:

  • Strong understanding of bank and consumer compliance such as: TILA, UDAAP, ECOA/Fair Lending, AML/BSA, TISA, Reg W, Reg O, FCRA, FDCPA
  • Supervise, manage and motivate audit team members on scheduled audits
  • Oversee audit planning and execution of audits including audit scoping, setting audit objectives, defining audit test steps, performing audit fieldwork and drafting audit reports
  • Review and provide feedback to the audit team on the documentation of detailed process walkthroughs performed with management, including the identification of process risks and controls
  • Review and provide feedback on detailed audit work papers performed during fieldwork, including control design and effectiveness testing in Word, audit testing grids in Excel, and process maps in Visio
  • Review deliverables to determine that the audit team developed and documented clear audit work papers that succinctly articulate the process, risks, controls, test work performed, and conclusions reached
  • Ensure effective and efficient execution of audits in conformance with professional and department quality standards
  • Identify and articulate control gaps or control deficiencies
  • Ensure timeliness of audit work and ensure audit is performed within budget
  • Participates and sometimes leads presentations of audit results to various levels of internal audit leadership, as well as the business organization
  • Participates in some limited interaction with regulators on areas of subject matter expertise
  • Lead the development of the risk assessment process and ongoing business/industry monitoring for certain areas of subject matter expertise
  • Maintain internal audit competency through ongoing professional development
  • Oversee career and professional development of direct reports
  • Perform other duties and/or special projects as assigned


  • Bachelor’s degree in accounting, business and 7+ years of internal audit, public accounting, financial services, banking operations, banking compliance, or equivalent
  • In lieu of degree, 11+ years of financial services experience focused on banking and consumer compliance
  • CPA/CIA or similar certification
  • Up to approximately 30% travel may be required

Desired Characteristics:

  • The successful candidate will most likely possess a graduate degree in accounting, finance, or business and will have earned appropriate certifications, such as a CPA, CA, CIA, CRCM, or CAMs
  • Knowledgeable and experienced in control theory and professional auditing practices including internal auditing standards and requirements as set out by IIA
  • Experience in credit card/financial services, banking, and working directly with regulators such as FDIC, Federal Reserve, OCC, CFPB
  • Experience in leading and motivating teams and projects
  • Experience managing, supervising, and mentoring individuals
  • Strong oral communication, business writing, presentation, and facilitation skills
  • Effectively integrate business, operational, technological, and financial components into audit work performed
  • Ability to objectively identify problems and recommend solutions to complex control, financial, or technical issues
  • Understanding of business technologies and its impact to the control environment
  • Strong written and verbal communication skills to deliver to line management high quality, actionable feedback on a variety of audit related issues
  • Able to work independently on multiple assignments while effectively supporting teamwork and achievement of team objectives
  • Strong analytical, risk management, and problem-solving skills

Eligibility Requirements:

  • You must be 18 years or older
  • You must have a high school diploma or equivalent
  • You must be willing to take a drug test, submit to a background investigation and submit fingerprints as part of the onboarding process
  • You must be able to satisfy the requirements of Section 19 of the Federal Deposit Insurance Act.
  • New hires (Level 4-7) must have 9 months of continuous service with the company before they are eligible to post on other roles.  Once this new hire time in position requirement is met, the associate will have a minimum 6 months’ time in position before they can post for future non-exempt roles.  Employees, level 8 or greater, must have at least 24 months’ time in position before they can post.  All internal employees must have at least a “consistently meets expectations” performance rating and have approval from your manager to post (or the approval of your manager and HR if you don’t meet the time in position or performance requirement).

Legal authorization to work in the U.S. is required.  We will not sponsor individuals for employment visas, now or in the future, for this job opening. 

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status. 

Reasonable Accommodation Notice:

  • Federal law requires employers to provide reasonable accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable accommodation to apply for a job or to perform your job. Examples of reasonable accommodation include making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment.
  • If you need special accommodations, please call our Career Support Line so that we can discuss your specific situation. We can be reached at 1-866-301-5627.   Representatives are available from 8am – 5pm Monday to Friday, Central Standard Time.

The salary range for this position is 85,000.00 – 170,000.00 USD Annual

Salaries are adjusted according to market in CA and Metro NY and some positions are bonus eligible.

Grade/Level: 12

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