Audit Manager, Consumer Compliance
2 weeks ago
This role is responsible for overseeing assigned areas of audit work, acting as an Auditor-in-Charge (AIC), and executing on the audit strategy for Lines of Business (LOBs). Key responsibilities include driving risk-based auditing, defining scope and test procedures, assessing issues for business impact, and recommending severity ratings.
Key Responsibilities:
- Execute audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high-quality manner.
- Act as Auditor-in-Charge (AIC) by overseeing audit testing and ensuring it is executed in a timely manner and conforms with quality standards, audit policies, and procedures.
- Assess impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge.
- Exercise intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit.
- Oversee a team of associates and provide day-to-day mentoring and guidance, fostering an inclusive work environment.
- Maintain business partner relationships, primarily with line management, to develop business knowledge.
- Exercise sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment.
Requirements:
- Minimum 8 years of audit or risk control risk/controls background, preferably in financial services.
- A minimum of 3 years in a lead auditor/Auditor-in-Charge (AIC) role, or equivalent experience.
- Risk assessment skillset to enable evaluation of processes and other operational risks, identification of controls, and determination of gaps and weaknesses.
- Strong written/verbal communication skills with the ability to communicate issues/concerns and recommend corrective course of action.
- Intellectual curiosity to identify areas of risk, coupled with analytic, logical reasoning, and problem-solving skills to effectively and objectively investigate/evaluate areas of risk.
- Ability to manage audit projects within a risk-based audit methodology and provide coaching and training to junior associates within the team.
- Must have good time management skills and the ability to manage multiple priorities in a fast-paced environment.
- Ability to work well and collaboratively as part of a team and function independently when required.
- Ability to plan, execute, and evaluate audit test plans within a risk-based audit methodology.
- Strong analytical skills, with the ability to analyze large amounts of data and turn it into usable information.
- Ability to successfully communicate to influence management and lead change in both strategic and tactical initiatives.
- Demonstrated experience assessing risks, processes, and controls to comply with laws/regulations for and/or across multiple laws/regulations, businesses, and products.
- Bachelor's degree and/or Advanced degree with relevant experience.
Preferred Qualifications:
- Certified Internal Audit (CIA) certification.
- Audit or risk control risk/controls background in financial services.
- Prior analytical/automation skills (SQL, SAS, Python, Alteryx, Advanced Excel).
- Advanced degree or certifications (CIA, CISA, etc.) - CPA preferred.
- Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE).
At Tech Brains Solutions, Inc., we are committed to fostering a culture of innovation, collaboration, and continuous learning. We believe in empowering our employees to grow and develop their skills, and we offer a range of opportunities for professional development and advancement.
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