JOB SUMMARY
The Senior Compliance Auditor supports the Compliance Audit Manager in the completion of the annual audit plan by planning and conducting compliance internal audits, performing audit in-charge responsibilities, and conforming to the Internal Audit Charter and Standards. Compliance internal audits include, but are not limited to Bank Secrecy Act, Fair Lending, Branch Operations Compliance, Lending Compliance (commercial and consumer), SAFE Act, HMDA, CRA, UDAAP, Regulation B, and Regulation E as well as Compliance Management System.
REQUIRED KNOWLEDGE, SKILLS AND ABILITIES
- Banking knowledge –Branch Banking Operations, Lending Operations, compliance-related policy and procedures
- Knowledge of risk management principles and practices in banks
- Understanding of IIA standards for the Professional Practice of Internal Auditing, COSO, risk assessment practices, and audit principles
- Sound judgment, integrity and commitment to ethical behavior
- Ability to maintain confidentiality and treat sensitive information with discretion
- Excellent interpersonal and communication skills
- Highly proficient with MS Office products
- Strong analytical skills, logical reasoning and problem-solving skills
- Ability to work independently, with limited direction and guidance
- Detail oriented, accurate, and organized
- Ability to effectively manage multiple projects simultaneously
- Flexible and able to adapt quickly to changing work environments / priorities and tight deadlines
- Strong business acumen in risk and controls
PHYSICAL REQUIREMENTS & WORK ENVIRONMENT
- Requires sitting for prolonged periods of time
- Requires lifting up to 10 pounds
- Hybrid work schedule
- Office setting w/controlled temperature
- Requires periodic travel to branch locations
EDUCATION AND EXPERIENCE
- BS or BA Degree required, preferred majors in Accounting, Business Administration, Finance, or Economics or equivalent work experience required.
- Five or more years of compliance related experience within a bank compliance/BSA group, a bank internal audit compliance group or regulatory agency required.
- Regional banking experience is strongly preferred.
- Strong working knowledge of both Federal and California State consumer protection and public-interest compliance laws and regulations including Regulation Z, Regulation X, Regulation DD, Regulation E, Flood, Fair Lending, CRA, Privacy as well as BSA/AML/OFAC requirements and applicable commercial compliance laws and regulations.
- Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Information Security Auditor (CISA), or Certified Risk Management Assurance (CRMA) required.
- Experience with audit software is preferred.
- Supervisory experience preferred but not required.
- Data analytics a plus.
- Working knowledge of AuditBoard, Jack Henry (Silverlake/Xperience), COGNOS a plus.
This job description is not intended to be all-inclusive, and employees will be required to perform additional related work duties as assigned by their immediate supervisor and/or management.
Farmers and Merchants Bank of Long Beach reserves the right to revise or change job duties and responsibilities as the need arises. This job description does not constitute a written or implied contract of employment.
Linked-in
Google