Senior Auditor, Associate - Regulatory Compliance (Non-AML)
Core
Independent testing and analysis of 1st and 2nd line compliance internal control frameworks to assess design and effectiveness, documenting results and reporting findings to management.
Role type
Senior IC internal auditor (regulatory compliance)
Builds
Audit reports, remediation recommendations, and continuous monitoring outputs for banking compliance areas
Domain
Financial services / Banking regulatory compliance
Required skills
Auditing techniques, risk analysis, regulatory requirement awareness, root cause analysis, remediation planning, documentation, stakeholder communication, time management
Preferred skills
Industry recognized certification (CPA, CIA, CISA, ACAMS), knowledge of SR 08-8, relationship management, multi-disciplinary team collaboration
Technologies
Microsoft Word, Excel, PowerPoint
Responsibilities
Conduct independent audit planning and fieldwork including interviews and control testing, identify and report control weaknesses with root cause analysis, present audit conclusions and final reports to management, monitor remediation status of findings, update audit guides and training materials, coordinate co-source resources
Seniority
Senior, hands-on IC
