We have been engaged to identify an Internal Audit Manager-Compliance for one of America’s most respected financial services companies. This organization has received many accolades, including Top Private Bank in the U.S., and has been growing 20% year-over-year. This position is based in San Francisco, CA (team members are currently remote during Covid).
The Internal Audit Manager-Compliance will report directly to the VP of Internal Audit-Compliance. You will be responsible for leading a portfolio of Audits focused on the bank’s regulatory compliance. You will oversee day-to-day execution of roughly half Compliance Audit program. You will help the department maintain high standards, as well as assisting in the movement to more leading-edge approaches. You will assist with annual risk assessment and audit plan preparation, as well as to maintain relationships with key audit stakeholders, and you will manage and develop junior staff.
The ideal candidate will have a solid career progression in Audit, with at least a couple years’ experience at the manager level, including managing a portfolio of Audits, overseeing multiple audits concurrently, and supervising direct reports and co-sourced resources. You will possess strong understanding of Audit process and methodology – in particular, a risk-based, controls-based approach. While significant experience in areas like, BSA/AML, NACHA, FACTA, Lending and Deposit Compliance, and Fair Lending, CRA, would be helpful, we are also open to a strong Internal Audit Manager, who understands banking processes/operations, and who would like to develop a focus/SME on the Compliance silo.
What Makes this Opportunity Special:
- Excellent Growth – this organization is growing 20% year-over-year and has more than quintupled in size over the past 10 years.
- Highly Respected Brand – this is one of the most highly respected organizations in the SF Bay Area, or in financial services. The bank has been recognized as best in class by several publications.
- Excellent Career Path potential
- High integrity organization and culture and Excellent Tone at the Top
- Highly collaborative corporate culture and values
- Great SF location (post-Covid) – easily accessible by BART, MUNI, or CALTRANS
- Good work/life balance and No travel!
What would make you a great fit:
- Bachelor’s degree; advanced degree preferred
- CPA, CIA, CFSA, CRMA, ACAMS, or other relevant certifications valued
- 7+ years progressive experience in Audit/Risk/Compliance, with significant experience in Internal Audit
- 2+ years’ in an Audit Manager role, with responsibility for leading execution over a portfolio of audits
- Solid people management skills, including managing, mentoring, and developing staff, preferred
- Grounded in risk-based, controls-based Audit approach
- Significant experience financial services/banking, preferred
- Prior experience in Big 4 valued
- Knowledge of banking compliance: BSA/AML, NACHA, FACTA, Lending and Deposit regulations, and Fair Lending/CRM, highly valued (or interest to develop that subject matter expertise)
- Strong communication skills (both oral and written)
- Highly collaborative mindset