Senior Auditor - Compliance

About This Role

This Senior Auditor role focuses on compliance within Corporate Audit Services (CAS), completing audit engagement assignments with minimal supervision. The auditor is expected to understand risk management, analyze business processes, identify key risks and controls, evaluate control design, and perform or supervise control testing in accordance with internal audit policies.

Responsibilities

• Assist audit team management in planning audit engagements, including understanding risk management techniques, identifying and analyzing business processes, key risks, and critical controls, interviewing auditees, and evaluating control design adequacy
• Perform or supervise staff auditors in the testing of controls based on audit program directions, including using appropriate sampling and control testing techniques, identifying and assessing the relevancy of possible issues, and documenting work performed to support audit scope/conclusions
• Draft audit issues under the supervision of the audit team management, including drafting potential exposures and significance, identifying appropriate root causes, and developing recommendations that are operationally effective and cost-effective actions to address those causes
• Assist the audit team management in the reporting and wrap-up phases of audits, including assisting with drafting audit reports
• Apply insights and guidance gained through coaching
• Perform other duties as requested by management

Requirements

• Bachelor's degree, or equivalent work experience
• Five to seven years of applicable experience
• Consumer compliance or regulatory compliance is 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
• 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