Manage the Corporate Compliance Audit and Monitoring Programs and assigned staff.
Work collaboratively with the Corporate Compliance Risk Officer (1) to set schedule, to ensure whenever possible, IA and Compliance simultaneously audit the same LOB to mitigate LOB disruption; and (2) to ensure schedule adequately addresses compliance risks as identified by internal compliance risk assessments.
Complete assigned regulatory compliance testing and monitoring assignments in accordance with established department standards and within allotted time frames.
Compose recommendations to communicate control performance results and regulatory findings to management in an efficient, timely and concise manner.
Review audit staffs' reports and work papers to ensure completeness.
Maintain an organized and accurate system of records designed to keep management informed of key performance indicators and deliverable dates.
Maintain a current knowledge of applicable consumer protection laws and regulations, business operations and internal Compliance policy and procedures.
Prepare reports for presentment to the RCC and Audit Committee.
Support the organization as subject matter expert in compliance auditing, testing, and monitoring upholding the highest standard of compliance, integrity and professionalism both internally and externally.
Obeys all applicable federal laws, rules, and regulations relating to Anti-Money Laundering (AML) including the Bank Secrecy Act (BSA).
Minimum Required Skills and Competencies:
Requires excellent written and verbal communication skills, computer proficiency and eye for detail.
Ability to work with team members to effectively set goals, provide clear and consistent feedback, and emphasize personal growth and development.
Ability to work independently in a fast pace environment and demonstrate a track record of completing work in a timely and organized fashion.
Banking experience involving compliance activities.
Desired Skills and Competencies: (Optional)
Degree in Business Administration or Compliance related certification
Experience with Auditing Software, i.e. TeamMate