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Senior Audit Manager - Global Compliance and Operational Risk

Providence, Rhode Island;

Job Description:

This person will be responsible for working with a team of audit professional to oversee day-to-day audit coverage activities of certain independent oversight functions and/or consumer laws/regulations assessed by the Global Risk – Compliance and Operational Risk team.  With a focus on oversight of key compliance risks provided by the second line of defense and business line and/or control function execution of processes designed to adhere to relevant regulatory requirements, responsibilities will include:

  • Managing a risk based audit plan designed to assess independent oversight of key laws/regulations for areas of coverage and business unit processes to maintain adherence to certain US consumer Laws/Regulations
  • Maintain Business Entity Risk Assessments
  • Engage with LOB executives to discuss audit results and ongoing monitoring activities related to risks within their business areas
  • Support the Audit Director to drive impact, influence, and assess across CACR to ensure that appropriate coverage is being provided to highest areas of risk
  • Collaborate with audit teams across the department, as needed to ensure plan delivery, use of Standard Audit test programs, and to aggregate information necessary to compile periodic and annual Compliance Risk Management Program Assessments.  
  • Act as a Subject Matter Expert for the CACR division and consult on independent second line of defense coverage approaches and certain consumer Laws/Regulations. 

Required Skills

  • Minimum 8-10+ years of Audit, Risk, Business Control, Compliance, Finance or other relevant experience
  • Ability to develop audit test plans within a risk based audit methodology
  • Sound organizational, analytical, oral and written communication skills  
  • Understanding and experience on how to collaborate across different teams and businesses to understand horizontal compliance risk
  • Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility
  • Ability to successfully communicate to influence management and lead change on both strategic and tactical initiatives.
  • Excellent interpersonal skills.
  • Ability to effectively lead, coach and develop teammates across the group to completion of projects and performance objectives
  • Ability to work in a very detailed manner
  • Proficiency in Microsoft Office Products
  • Bachelor’s degree and/or relevant experience

Desired Skills:

  • Experience engaging with regulators and/or experience working through regulatory remediation validation activities.

Job Band:

H4

Shift: 

1st shift (United States of America)

Hours Per Week:

40

Weekly Schedule:

Referral Bonus Amount:

0

Job Description:

This person will be responsible for working with a team of audit professional to oversee day-to-day audit coverage activities of certain independent oversight functions and/or consumer laws/regulations assessed by the Global Risk – Compliance and Operational Risk team.  With a focus on oversight of key compliance risks provided by the second line of defense and business line and/or control function execution of processes designed to adhere to relevant regulatory requirements, responsibilities will include:

  • Managing a risk based audit plan designed to assess independent oversight of key laws/regulations for areas of coverage and business unit processes to maintain adherence to certain US consumer Laws/Regulations
  • Maintain Business Entity Risk Assessments
  • Engage with LOB executives to discuss audit results and ongoing monitoring activities related to risks within their business areas
  • Support the Audit Director to drive impact, influence, and assess across CACR to ensure that appropriate coverage is being provided to highest areas of risk
  • Collaborate with audit teams across the department, as needed to ensure plan delivery, use of Standard Audit test programs, and to aggregate information necessary to compile periodic and annual Compliance Risk Management Program Assessments.  
  • Act as a Subject Matter Expert for the CACR division and consult on independent second line of defense coverage approaches and certain consumer Laws/Regulations. 

Required Skills

  • Minimum 8-10+ years of Audit, Risk, Business Control, Compliance, Finance or other relevant experience
  • Ability to develop audit test plans within a risk based audit methodology
  • Sound organizational, analytical, oral and written communication skills  
  • Understanding and experience on how to collaborate across different teams and businesses to understand horizontal compliance risk
  • Self-starter, desire to learn able to teach others, positive attitude, exhibits flexibility
  • Ability to successfully communicate to influence management and lead change on both strategic and tactical initiatives.
  • Excellent interpersonal skills.
  • Ability to effectively lead, coach and develop teammates across the group to completion of projects and performance objectives
  • Ability to work in a very detailed manner
  • Proficiency in Microsoft Office Products
  • Bachelor’s degree and/or relevant experience

Desired Skills:

  • Experience engaging with regulators and/or experience working through regulatory remediation validation activities.

Shift:

1st shift (United States of America)

Hours Per Week: 

40

Learn more about this role

Full time

JR-21085055

Band: H4

Manages People: No

Travel: Yes, 15% of the time

Manager:

Talent Acquisition Contact:

Kristen Perry

Referral Bonus:

0

Connecticut job seekers

Connecticut pay range:

$117,500 - $166,000 annualized salary, offers to be negotiated based on experience, education and skill set.

Discretionary incentive eligible

This role is eligible to participate in the annual discretionary plan. Employees are eligible for an annual discretionary award based on their overall individual performance results and behaviors, the performance and contributions of their line of business and/or group; and the overall success of the Company.

Benefits

This role is currently benefits eligible. We provide industry-leading benefits, resources and support to our employees so they can make a genuine impact and contribute to the sustainable growth of our business and the communities we serve.