Compliance Audit Manager
$101,000–$159,000 year
HybridSan Francisco, California, United States or Lehi, Utah, United States
Job Summary
Lead and perform moderate to high-complexity audit work with limited supervision, identifying key risks across end-to-end processes and developing risk-based audit scopes. Execute and document procedures per Institute of Internal Auditors standards while mentoring team members and partnering with business leaders to validate findings and drive corrective actions. Monitor remediation progress and own the Bank's Compliance and Financial Crimes coverage strategies, refining them to ensure complete regulatory coverage. Leverage artificial intelligence throughout the audit lifecycle to enhance efficiency and advance real-time, continuous compliance auditing using data analytics and LLMs. Requires 6+ years of internal audit experience in financial services, proficiency with Excel and audit tools like Optro, and working knowledge of consumer protection laws and BSA/AML/OFAC programs.
Required Qualifications
- 6+ years of Internal Audit or related experience
- Bachelor's degree or higher, or equivalent combination of education and experience
- Demonstrated ability to lead and motivate a collaborative audit team on complex engagements
- Strong analytical and critical-thinking skills, including proficiency with Excel and data analytics
- Excellent organizational skills and the ability to manage multiple priorities effectively
- Advanced written and verbal communication skills, with the ability to clearly articulate insights and influence stakeholders
- Experience with audit management tools (e.g., Optro)
- Working knowledge of key regulations, including consumer protection laws (e.g., ECOA/Reg B, EFTA/Reg E, TILA/Reg Z, EFAA/Reg CC) and BSA/AML/OFAC programs
- Curious, adaptable, and proactive, with a passion for continuous improvement and driving meaningful impact
- In-person attendance is essential for this role's success, and remote placement will not be considered
- Local hours (PT, MT)
- Flexible working across time zones when necessary
- As needed travel to Happen Bank offices and/or other locations
Desired Qualifications
- Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain)
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