Senior Compliance Audit Leader

  • Exceptional compensation plan
  • San Francisco, CA, USA San Francisco CA US
  • Permanent, Full time
  • Oakwood Search
  • 19 Feb 18 2018-02-19

Senior Compliance Audit Leader is responsible with planning and conducting highly complex Compliance audits as well as providing control consultation on risks and controls throughout the Bank and its subsidiaries. Compliance audit areas include, but are not limited to, BSA/AML, Fair Lending/CRA, NACHA, Lending and Deposit Compliance, Fraud, UDAAP and Volcker Rule Compliance. The opportunity is a result significant growth expected. Upward mobility will exist for top performers.


Support Compliance Internal Audits in performing the following:

  • Perform planning activities and walkthroughs with management in developing and executing risk-based audit programs
  • Provide control consultation on risks and controls throughout the Bank and its subsidiaries
  • Assist with drafting audit reports by identifying and gathering support for potential issues, ensure findings are appropriately documented, and recommend value-added solutions
  • Perform oversight of co-source resources working on Compliance Internal Audits
  • Ensure the overall quality, consistency, risk management and adherence to department and professional standards and identify opportunities for audit process improvement
  • Establish and maintain strong relationships with business unit management
  • Perform project management tasks including but not limited to: scheduling and leading meetings, resource management, audit workpaper review, assisting in report writing, and timely audit completion
  • Remain current and increase knowledge of regulatory requirements that impact the organization, as well as in the areas of internal control, accounting, business, company products and company information
  • Support management initiatives and perform administrative responsibilities as needed; perform duties and responsibilities specific to department functions or as assigned by supervisor
  • Adhering to and complying with all applicable federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.)

Identifying and reporting potential suspicious activity to the BSA/AML Officer