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Senior compliance auditor

Job Summary

The Senior Compliance Auditor is responsible for leading and executing complex audits to evaluate risk management, regulatory compliance, and internal controls across banking operations. This role requires fluency in both English and Spanish and prior auditing experience within a financial institution. The ideal candidate will have a deep understanding of federal banking regulations and internal audit methodology. 

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Essential Duties & Responsibilities:

  • Lead and perform audits across multiple banking functions, including BSA/AML, credit, liquidity, compliance, and governance.
  • Review internal policies and procedures for adequacy, regulatory alignment, and operational effectiveness.
  • Ensure compliance with OCC, FDIC, CFPB, and other applicable regulatory standards.
  • Develop audit planning documents (Intent to Audit Memos, APMs, Risk & Control Matrices).
  • Execute testing strategies, including sampling, walkthroughs, and control effectiveness evaluations.
  • Validate and document audit findings, ensuring accuracy, rationale, and audit methodology adherence.
  • Prepare audit reports, propose issue severities, and facilitate closing meetings with management.
  • Monitor resolution of audit issues and management action plans through the audit tool (TM+).
  • Support regulatory exams and internal reporting with audit documentation and summaries.
  • Stay current on evolving banking regulations and integrate them into audit planning and execution.

Minimum Requirements:

  • Bachelor’s degree in Accounting, Finance, or related field required; CPA, CIA, or CAMS preferred.
  • 3–5 years of auditing experience in banking or financial services; supervisory audit experience preferred.
  • Strong knowledge of GAAP, auditing standards, and federal banking regulations.
  • Proficiency in Microsoft Office and audit management software.
  • Fluent in both English and Spanish (read, write, speak) is required.

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