Senior Audit Manager Consumer ComplianceJob ID RISK-10938 City Los Angeles State California Exempt/Non Exempt Exempt Shift Day Work Schedule M-F, 8-5
Responsible for managing complex compliance and banking audits and supervising auditors assigned to these audits assessing the internal control environment of the bank's first line banking activities and the enterprise's compliance program to ensure processes are adequately designed and functioned effectively to meet regulatory requirements and bank policies and procedures.
Leadership & People Management:
- Although not the reporting Manager, leads/coaches a team of internal audit professionals at the individual audit level.
- Implements the outcomes from the audit modernization program by leading the individual audit team members through the process changes.
- Manages resource planning to ensure that there are sufficient engagement resources to meet plan for the individual audit.
- Takes personal responsibility for a complete, multi-stage project (audit) in own area.
- Participates in social, charitable or inclusive committees within Internal Audit or CNB.
Audit and Assurance:
- Leads execution of individual audits in the annual plan or participate in audits, ensuring effective audit practices for audits, continuous monitoring and issue follow up process. Prepares audit reports for submission to the Director.
- Participates in the execution of continuous monitoring programs. Gathers and evaluates information from business executives.
- Evaluates and tests whether appropriate and accurate internal control information is being gathered and reported.
- Applies proven risk management techniques, models and tools to key risks.
- Understands the IT risks of the proprietary technology in the supported platform in order to identify key risks and controls, for better audit planning and execution.
- Identifies the business implications of changes and trends in IT.
Data Analytics and Technology:
- Applies advanced analytical techniques to test hypotheses and add insights into audit findings.
- Understands concepts of data lineage and data stewardship in order to develop effective data analytics that provide the insights.
- Identifies appropriate analytical techniques based on the data and audit objectives.
Relationship Building and Client Experience:
- Key contact for senior management during audit fieldwork and reporting.
- Responds to inquiries from business leaders during fieldwork and reporting.
- Leverages stakeholder relationships to advance business and project objectives.
- Prepares solutions to address potential roadblocks raised by others in response to recommendations.
- Creates an open and constructive environment for negotiation and assures all parties that a fair solution will be attained.
- Initiates discussions between parties to explore differences and help find common grounds.
- *7-10 years of audit or related experience in compliance, risk management or banking activities. Strong auditing knowledge of consumer compliance regulations preferred.
- *Bachelor's degree in accounting, finance, business, IT, or related field required.
- *One or more of the following or related certifications:
- Certified Public Accountant (CPA)
- Certified Internal Auditor (CIA)
- Certified Information Systems Auditor (CISA)
- Chartered Financial Analyst (CFA)
- Certified Anti-Money Laundering Specialist (CAMS)
Leadership and People Management experience:
- Leads by example. Experienced coach, team captain, and/or mentor in personal or work environment.
- Personal or work experience building inclusive and diverse teams or committees.
- Personal or work experience leading others, as evidenced by having indirect reports, over an extended period of time.
Proven ability to multitask and prioritize activities.
- Experience working as a team member on a special project.
Audit and Assurance experience:
- Strong auditing knowledge of consumer compliance regulations preferred.
- Business experience in a financial institution or technology company, dealing with multiple business platforms, business processes, geographies, and legal entities.
- Audit experience (execution and reporting) with some leadership.
- Risk Management or Regulatory/Compliance experience -- Understanding of the principles of Operational Risk, Market Risk, Credit Risk, and Liquidity & Funding Risk.
- Experience dealing with business AML Compliance.
- Knowledge of U.S. consumer compliance and other financial regulations.
Data Analytics and Technology experience:
- Experience building, using and interpreting data extracted from CAAT's.
- Understanding of Advanced Analytics.
- Experience in use of data visualization and reporting -- e.g. Tableau.
- Experience planning integrated business audits with technology auditors.
Relationship building and client experience:
- Experience working for either internal client (cross platform) or external 3rd party client(s).
- Exhibits integrity and trust as demonstrated in the consistency in their honesty, integrity and dependability across their online footprint.
- Has formally recommended an innovative solution to improve an inefficient process or report.
- Personal or work experience as facilitator or negotiator.
*Represents basic qualifications for the position. To be considered for this position you must at least meet the basic qualifications.
Equal Opportunity/Affirmative Action Employer, Minorities/Females/Individuals with Disabilities/Veterans
Note: This preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.
Note: Candidates should be advised that City National Bank does not pay interviewee travel expenses or relocation expenses for candidates who are hired unless previously agreed.