Audit Manager

Stamford, CT, United States Full Time Senior

This position is primarily responsible for the planning and execution of Compliance audit engagements that review the design and effectiveness of the bank’s control environment, as well as validation of corrective actions.

Essential Responsibilities:
  • Participate as a key team member on scheduled audits, executing audit projects from start to finish with high level of autonomy
  • Conduct and document detailed process walkthroughs with management, including the identification of process risks and controls
  • Prepare detailed audit work papers in Word, audit testing grids in Excel, and process maps in Visio
  • Document clear audit work papers that succinctly articulate the process, risks, controls, and test work performed
  • Ensure effective and efficient execution of audits in conformance with professional and department quality standards
  • Identify control gaps or control deficiencies and assess the impact of Regulatory Compliance
  • Ensure timeliness of audit work and ensure audit is performed within budget
  • Present audit results to various levels of internal audit leadership, as well as the business organization
  • Produce high quality audit project results across multiple business areas
  • Perform research on consumer banking regulatory compliance and other banking operations and finance topics
  • Maintain internal audit competency through ongoing professional development
  • Perform other duties and/or special projects as assigned
  • Bachelor’s Degree in accounting, finance, business, related field, or equivalent
  • 4+ years business experience or in lieu of a degree, 8+ years experience in accounting, finance, business or related field
  • 3+ years internal audit, public accounting, banking operations, banking compliance, or other equivalent.
  • Ability to travel up to 25% of the time.
Desired Characteristics:
  • The successful candidate will most likely possess an undergraduate or graduate degree in accounting, finance, or business and will have earned appropriate certifications, such as a CPA, CA, CIA, CRCM, or CAMs
  • 7 years combined internal audit, public accounting, banking operations, banking compliance, or other equivalent.
  • Knowledgeable and experienced in control theory and professional auditing practices
  • A consumer banking regulatory compliance proficiency is preferred, including TILA, UDAAP, ECOA/Fair Lending, AML/BSA, TISA, Reg W, Reg O, FCRA, FDCPA
  • Understanding of regulatory, accounting, financial industry related guidance and best practices applicable to banking operations
  • Experience working with regulators, such as OCC, CFPB, Fed, FDIC, or experience with consumer deposit account operations are a plus
  • Understanding of regulatory, accounting, financial industry related guidance and best practices applicable to banking operations
  • Effectively integrate business, operational, technological, and financial components into audit work performed
  • Ability to objectively identify problems and recommend solutions to complex control, financial, or technical issues
  • Understanding of business technologies and its impact to the control environment
  • Strong written and verbal communication skills to deliver to line management high quality, actionable feedback on a variety of audit related issues
  • Able to work independently on multiple assignments while effectively supporting teamwork and achievement of team objectives
  • Strong analytical, risk management, and problem solving skills
Eligibility Requirements:
  • You must be 18 years or older
  • You must have a high school diploma or equivalent
  • You must be willing to take a drug test, submit to a background investigation and submit fingerprints as part of the selection process
  • You must be able to satisfy the requirements of Section 19 of the Federal Deposit Insurance Act.
  • Effective 1-1-18, new hires (Level 4-7) must have 9 months of continuous service with the company before they are eligible to post on other roles. Once this new hire time in position requirement is met, the associate will have a minimum 6 months’ time in position before they can post for future non-exempt roles. Employees, level 8 or greater, must have at least 24 months’ time in position before they can post. All internal employees must have at least a “consistently meets expectations” performance rating and have approval from your manager to post (or the approval of your manager and HR if you don’t meet the time in position or performance requirement).

Legal authorization to work in the U.S. is required. We will not sponsor individuals for employment visas, now or in the future, for this job opening.

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Reasonable Accommodation Notice:
  • Federal law requires employers to provide reasonable accommodation to qualified individuals with disabilities. Please tell us if you require a reasonable accommodation to apply for a job or to perform your job. Examples of reasonable accommodation include making a change to the application process or work procedures, providing documents in an alternate format, using a sign language interpreter, or using specialized equipment.
  • If you need special accommodations, please call our Career Support Line so that we can discuss your specific situation. We can be reached at 1-866-301-5627. Representatives are available from 8am – 5pm Monday to Friday, Central Standard Time.

The salary range for this position is 60,000.00 – 130,000.00 USD Annual

Salaries are adjusted according to market in CA and Metro NY and some positions are bonus eligible.


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