Audit and Compliance Specialist

1 week ago

Richardson, Texas, United States Texas Capital Bank Full time

About the Role:

The Internal Audit Manager will play a critical role in assisting the Internal Audit Department management in implementing and executing a risk-based audit process. This position will be responsible for performing tasks such as consulting with management regarding risk and controls, coordinating audits and projects, preparing reports and briefings, and ensuring high standards are maintained related to work papers and other documentation.

Key Responsibilities:

  • Assist in identifying, analyzing, and assessing risk throughout the Bank as part of the department's risk assessment process and development of the annual audit plan.
  • Plan and execute audits in a risk-focused manner, with limited supervision, while maintaining independence and adhering to department and professional industry standards.
  • Deliver on-time, high-quality audit reports that require limited revision by audit management, including the identification of and root cause analysis for control gaps, drafting recommendations for improvement where issues are identified, and providing an overall opinion on the risk and control environment.
  • Plan and execute comprehensive validation procedures for Internal Audit and Regulatory issues.
  • Independently establish appropriate budgets and timeframes, with minimal input from audit management, and organize and complete work to meet them.
  • Incorporate the use of data analytics throughout the audit process.
  • Demonstrate support for the department's strategic objectives.
  • Manage multiple tasks concurrently in an efficient and effective manner with minimal oversight.
  • Possess strong management and interpersonal skills, make sound decisions independently exhibiting initiative and intuitive thinking.
  • Proactively communicate with senior members of the audit team and line of business senior management regarding the status of audits and potential issues identified.
  • Directly partner with First Line/Second Line and fully integrate with their risk management processes while maintaining objectivity and independence.
  • Demonstrates strong judgment, political astuteness, and sensitivity to cultural diversity.
  • Coach, mentor, and oversee the work of junior members of the audit team. Provide constructive feedback to people managers to enhance team development.
  • Adhere to applicable compliance/operational/financial risk controls in accordance with Bank or regulatory standards and policies.
  • Promote an environment that supports diversity and reflects the Texas Capital Bank brand.
  • Maintain Texas Capital Bank internal control standards, including timely implementation of internal and external audit points together with any issues raised by external regulators, as applicable.
  • Ability to apply best practice project management methodologies for delivering audit engagements on-time, on-budget, and in accordance with the engagement plan.
  • Demonstrate ability to maintain pace, flexibility, and grow with a rapidly changing Banking environment.

Qualifications:

  • Bachelor's degree in Accounting, Finance, Business Administration, Mathematics, or Statistics required.
  • Advanced degree in related field strongly preferred.
  • 15+ years of experience in auditing banking with strong understanding of risks within financial services and related risk management processes for areas such as credit, liquidity, interest rate, price, and/or capital management, wealth management, and investment banking, compliance, or mortgage finance.
  • 10+ years of leading Audit engagements and coordination of audit teams is required.
  • Knowledge of Sarbanes-Oxley (SOX) processes such as internal control documentation, walkthroughs, testing, and reporting preferred.
  • CPA, CIA, CISA, CRCM, or other relevant certifications strongly preferred.
  • Experience with audit analytics tools (i.e., ACL, Alteryx, etc.) and visualization tools (i.e., Power BI) preferred.
  • Understanding of commonly used International Professional Practices Frameworks (COSO and PCAOB), risks within financial services, and related risk management processes required.
  • Superior communication (verbal and written), negotiation, and presentation skills required.
  • Strong organizational skills, including effective time management and project management required.
  • Excellent executive presentation skills required.
  • Ability to be influential and establish positive working relationships across all levels of the organization from individual contributor to C-suite executives.
  • Ability to prioritize work for self and audit team based on corporate strategy and department goals.
  • Ability to obtain, analyze, and synthesize information from multiple sources.
  • Excellent problem-solving, analytical, and critical thinking skills required.

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