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Senior Auditor Regulatory Compliance

Expired Job

M&T Bank Buffalo , NY 14202

Posted 3 months ago

Senior Auditor Regulatory Compliance

Buffalo, NY


Plan, execute, and document audits in a risk focused manner while maintaining independence and department and professional standards.

Evaluate, test, and report on the adequacy and effectiveness of the control environment.

Analyze risks and proactively identify the root-cause of issues with a view to providing recommendations for improvement where weaknesses are identified.

Finalize audit findings and use judgment to provide an overall opinion on the control environment.

Implement and execute an effective program of continuous monitoring for assigned areas. This includes monitoring of key metrics to identify control issues and adverse trends in the control environment and keeping abreast of key initiatives and pertinent industry and regulatory developments.

Supervise Assistant Senior Auditors and Staff Auditors as needed.

Assist in establishment of appropriate budgets and audit timeframes.

Directly communicate audit status and findings with Senior, Middle and Line Management and External Auditors.

Deliver on-time, high-quality reports that require limited revision by Audit Management. Complete comprehensive validation procedures on Internal Audit and Regulatory issues.

Provide advisory services to assigned businesses in areas of expertise and participate in or lead special projects, investigations and initiatives as necessary.

Contribute to the Department s Risk Assessment process (assist in identifying, analyzing, and assessing risk throughout the Bank).

Gain and develop a detailed understanding of processes or associated technology to identify control gaps or to make recommendations that address the identified gaps.

Work with Management to obtain responses that address the identified issues and ensure closure dates appear reasonable.

Encourage integrated auditing concepts; the use of technology, and make suggestions on audit approach changes to improve the efficiency and effectiveness of audit procedures.

Use excellent communication skills to influence a wide range of audiences including respective product or functional support partners.

Stay abreast of best practices and industry developments and incorporate into audit coverage.

Manage multiple tasks concurrently in an efficient and effective manner with minimal oversight.

Build strong partnerships with business stakeholders and other audit team members.

Adhere to applicable compliance/operational risk controls in accordance with Company or regulatory standards and policies.

Maintain M&T internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators as applicable.

Promote an environment that supports diversity and reflects the M&T Bank brand.

Complete other related duties as assigned.


This role is responsible for leading, planning and executing the delivery of high quality, value-added audit services for a variety of business activities, which meet the requirements of the Audit Committee and regulatory expectations. Ensures ongoing conformance with professional auditing standards.

This position directly communicates with Middle and Line Management and External Auditors.


This position will have certain audit personnel oversight responsibilities on audits in which they function as Lead Auditor. This role may also provide coaching opportunities on other engagements.


Bachelors' degree in Technology/Accounting/Finance/Business or related discipline and a minimum of 4 years' experience in a related role, or in lieu of a degree, a combined minimum of 8 years of higher education and/or work experience, including a minimum of 4 years' experience in a related role.

Ability to develop and coach others.


Financial Services Industry experience preferred.

Related certifications (CRCM, CIA, CPA, CAMS or similar).

MBA, JD, or Master's degree in similar field

Working knowledge and experience with auditing the following areas:

Compliance Risk Management

Customer Complaints,

Mortgage and Consumer Lending and Servicing

Fair and Responsible Banking functions (Fair Lending Office and UDAAP Program)

Various regulatory requirements embedded within the financial services industry (ECOA, RESPA, TILA, HMDA, SCRA)


At M&T, we strive to be the best place our employees ever work, the best bank our customers ever do business with and the best investment our shareholders ever make. So when looking to advance your career, look to M&T.

As a top 20 US bank holding company and one of the best performing regional banks in the country, we offer a wide range of performance based career development opportunities for talented professionals. And through our longstanding tradition of careful, conservative and consistent management and a strong commitment to the communities we serve, we continue to grow with a focus on the future

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Senior Auditor Regulatory Compliance

Expired Job

M&T Bank