Internal Audit

4 weeks ago

New York, United States Herbein + Company, Inc Full time
Job DescriptionJob DescriptionDescription:

We have several open positions, and we are recruiting for a Senior Consultant or Supervisor to support our banking and financial services clients within our Herbein Risk Management Team.


As a member of our team, you will provide consulting services and expertise in Bank regulatory compliance (consumer deposits and loans) to assist in targeted compliance monitoring reviews and internal audit associated Bank regulatory compliance. We operate within a moderately fast-paced culture that is driven by hard work, quality, excellence, transparency, and nimbleness. You will be challenged daily to develop solutions to complex problems, and to manage multiple projects for multiple clients.

  • Maintain strong knowledge of applicable mortgage compliance laws and regulations.
  • Become a subject matter expert in key laws and regulations related to Bank regulatory compliance.
  • Become a subject matter expert on mortgage industry compliance standards (e.g., FNMA, FHLMC, FHA, VA, HUD, and Fair Lending Guidelines) and lending guidelines (e.g., Conventional, FHA, VA, Non-QM, etc.).
  • Conduct reviews to ensure compliance rules are applied appropriately, fees disclosed properly, and loan documents are produced correctly.
  • Monitor and analyze developing trends and changes in applicable consumer-related laws and regulations. Assist management with the implementation of regulatory changes.
  • Execute fieldwork with appropriate supervision, interact with all levels of management and perform testing (including walkthroughs), take ownership to complete clear and well-organized audit work papers that appropriately document the work performed, use root cause analysis for problem solving and communicate potential issues timely to supervisors and clients.
  • Evaluate risks of key controls and the effectiveness of the overall control framework and ensure that management has effective and timely control remediation plans.
  • Formulate appropriate conclusions regarding the adequacy of internal controls and procedures based on the audit work performed and knowledge of Company operations, draft well written, clear, and concise audit reports and participate in presenting the findings to Internal Audit Management and Business Management.
  • Remediation: Monitor the implementation of corrective action plans with first and second lines of defense and present updates of the findings to Internal Audit Management and Business Management.
Requirements:
  • Bachelor's degree in Accounting, Finance or MIS, or equivalent audit knowledge.
  • 3-5 years of prior, recent banking compliance experience, ideally a few years of mortgage compliance experience.
  • 5+ years of experience with residential mortgage servicing, originations, or financial services is a plus.
  • Ability to travel approximately to our regional banking clients in NY as needed/required.
  • Experience in constructing and evaluating tests of controls, analyzing issues and formatting effective corrective action plans.
  • Ability to work collaboratively as part of a team, while also successfully executing independent assignments.
  • Articulate and effective communication skills in order to be able to prepare and deliver detailed oral and written presentations to senior management and interact effectively with regulators and clients.
  • Ability to effectively handle multiple assignments with minimal supervision while meeting department performance measures.
  • Strong technical skills in Microsoft Office (Word, Excel).
  • Technologically savvy with the ability to quickly learn how to operate within our client’s various systems.


Herbein + Company, Inc. and its subsidiary are equal opportunity employers. All applicants will be considered on the merits of their knowledge, skills, and abilities for employment without attention to race, color, religion, gender, sexual orientation, gender expression, national origin, veteran, or disability status.

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