Senior Auditor III
Conduct regulatory compliance focused internal audits for assigned processes, departments, and/or divisions throughout the organization. The areas of regulatory compliance will include, but won’t be limited to the BSA/AML,OFAC, and consumer compliance.
Duties and Responsibilities:
- Plan, lead, and perform audits; analyze the results of audit work; prepare and review work papers to support conclusions; develop recommendations, summarize audit results, conduct entrance and exit meetings, draft audit reports, and resolve outstanding issues.
- Determine purpose, scope and approach based on review of key processes and controls, evaluation of previous audits and findings, and interviews with clients to identify gaps and opportunities to explore through the assessment/audit. Continually raise the bar on controls and processes to minimize risks to the company.
- Research issues and make recommendations to improve process and/or procedures as needed to minimize exposure to risk and fraud.
- Build strong working relationships with business unit management to ensure that company risks are openly discussed and addressed with a focus on problem solving for the ultimate benefit of the organization.
- Track audit findings to ensure management adequately addresses identified risks and controls weaknesses in a timely manner.
- Respond to client questions and concerns, educating and/or explaining the risks of the current practices.
- Perform other related duties as assigned.
- An undergraduate degree in a business related field.
- A minimum of 3 – 5 years related consumer compliance or BSA/AML auditing experience or applicable experience operating within a bank consumer compliance or Financial Investigations Unit department
- Relevant professional certification preferred or working towards certifications. Examples include: CRCM-Certified Regulatory Compliance Manager, CCBCO – Certified Community Bank Compliance Officer, CAMS – Certified Anti-Money Laundering Specialist, CPA – Certified Public Accountant, CIA – Certified Internal Auditor, and/or CRMA – Certified in Risk Management Assurance
Other Qualifications and Skills:
- Strong working knowledge of internal audit practices and procedures.
- Understanding of the International Standards for the Professional Practices of Internal Auditing of the Institute of Internal Auditors.
- Banking industry knowledge.
- Leadership and decision making skills.
- Solid knowledge of banking laws and regulations, including consumer compliance regulations and/or BSA/AML and OFAC regulations.
- Strong problem identification and solving skills.
- Analytical, critical, and strategic thinking skills.
- Excellent report writing and editing skills.
- Project management skills.
- Excellent verbal, written, and interpersonal communication skills
- A team player able to work effectively in a team fostered, multi-tasking environment.
- Proficient in Microsoft Office suite, e.g. Excel, PowerPoint, Word, Outlook. Knowledge of Teammate is a plus.
- Position may be required to travel to different company sites on occasion.
“The Bancorp is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex, sexual orientation, gender identity, age, status as a protected veteran, among other things, or status as a qualified individual with disability."
The Bancorp is an Equal Opportunity Employer