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Compliance Audit Lead

2 months ago

Providence, Rhode Island, United States Bank of America Full time
Position Title: Compliance Audit Lead

Location: Various Locations

Job Overview:

At Bank of America, we are driven by a unified mission to enhance financial well-being through meaningful connections.

Our commitment to Responsible Growth shapes our operations and our service to clients, team members, communities, and shareholders daily.

We prioritize creating an exceptional workplace for our global team, focusing on diversity and inclusivity. We actively seek individuals from diverse backgrounds and experiences, investing significantly in our employees and their families through competitive benefits that support their overall well-being.

At Bank of America, you will find a rewarding career filled with opportunities for growth, learning, and making a significant impact.


Role Responsibilities:

This position is accountable for managing designated audit assignments, serving as the Auditor-in-Charge (AIC), and executing the audit strategy for various Lines of Business (LOBs).

Key responsibilities encompass:

  • Leading risk-focused audits by establishing the scope and testing procedures to assess the control environment in line with audit standards.
  • Evaluating issues for business implications and suggesting severity ratings.
  • Drafting comprehensive audit reports and nurturing relationships with business partners.

Expectations include promoting an inclusive work culture and providing mentorship to team members.


Key Qualifications:

Expertise in compliance and operational risk frameworks, along with a robust understanding of the financial services sector.

Responsibilities include:

  • Planning, executing, and leading compliance and operational risk audits at the enterprise level.
  • In-depth knowledge of risk management frameworks and relevant regulations.
  • Conducting audit reviews for risk appetite, governance, culture, and monitoring programs.
  • Overseeing audit teams during engagements and offering constructive feedback.
  • Designing and implementing audit procedures, including issue identification and evidence analysis.
  • Utilizing data and analytical tools throughout the audit process.
  • Communicating audit findings to management through written reports and presentations.
  • Building and maintaining relationships with internal and external stakeholders.
  • Conducting risk assessments of business activities and potential exposures.
  • Demonstrating experience in managing integrated internal audit and assurance delivery.

Strong communication skills are essential for articulating findings effectively.


Required Skills and Experience:
  • Bachelor's degree.
  • A minimum of 5 years of audit experience related to compliance and operational risk management.
  • At least 5 years of experience in conducting compliance or operational risk audits within Financial Services.
  • At least 3 years of experience in leading audits as an auditor-in-charge.
  • Proficiency in Internal Audit Review, Issue Management, Risk Management, and Audit Planning.
  • Strong analytical, project management, and relationship-building skills.
  • Excellent written communication and attention to detail.

Preferred Qualifications:
  • Master's Degree in Auditing, Accounting, Finance, or Business Administration.
  • Certifications such as Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE).

Work Schedule:
1st shift (United States of America)

Hours Per Week:
40

Bank of America is committed to creating a diverse and inclusive workplace and considers qualified candidates for employment without regard to race, religion, gender, sexual orientation, age, national origin, or any other factor prohibited by law.