JOB FUNCTION

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To conduct audit tests, analyze internal controls and draft audit observations under the direction of a lead auditor

DUTIES and RESPONSIBILITIES

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• Reviews and evaluates the risk-based compliance program to ensure adequate monitoring across all departments and identify and recommend opportunities for improvements.
• Develops annual compliance audit plans and integrated audit steps for various departmental audits.
• Among other duties, the Compliance Auditor documents, reviews, evaluates and communicates on the system of internal controls to ensure adherence to policies and procedures which facilitate compliance with applicable statutes, regulations and regulatory requirements.
• Works with department leads to identify and assess the impact of control deficiencies, identifying root causes, providing recommendations, and monitoring timely remediation.
• Assists with documentation and evaluation of the adequacy of internal control systems by preparing flowcharts/process narratives, risk assessments, and/or internal control questionnaires.
• Performs compliance audits as assigned within budget hours and provides continuous status updates to supervisor.
• Drafts preliminary findings and discusses with supervisor.
• Maintains current knowledge and complies with all federal and state laws and regulations and all established Bank policies and procedures, including internal audit controls related to department operations.
• Maintains and organizes documentation to support audits and compliance research.
• Prepares management, board, and regulatory reporting, regulatory filings and notifications, audits, and regulatory examinations.
• Participates in job specific training and other various Bank training programs, as necessary.
• Maintains confidentiality of Bank information

*MINIMUM QUALIFICATIONS *:

Work Experience **

• 4+ years of experience in a compliance or audit
• CRCM required

*Supervisory Experience *

• N/A

Education/Skills/Experience

• Bachelor's degree or equivalent in Business Administration, Finance, Accounting, in a related field, or equivalent experience.

*Equipment/Machines/Software *

• Computer literacy using Microsoft Office Tools (Outlook, Excel, Word, PowerPoint, Explorer) and Adobe Reader/Acrobat

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``` - Ability to work with office equipment including telephones, computers, digital devices, copy machines, and scanners

Competency Requirements

Proven organizational skills with ability to multi-task and follow assigned tasks through completion

Must be able to take initiative to complete tasks and work independently with minimal supervision

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