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VP Compliance Audit Manager

  • Location

    Los Angeles

  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    Up to $145,000

  • Contact:

    Edward Maglalang

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    4 months ago

  • Expiry date:


  • Startdate:


Job Summary

The Compliance Audit Manager assists the Chief Auditor in the completion of the annual audit plan by planning and conducting compliance internal audits, reviewing and supervising work of compliance auditors, and conforming to the Internal Audit Charter and Standards.  Complies with all State and Federal Banking regulatory requirements, including but not limited to: BSA, Anti-Money Laundering, OFAC, CIP, Financial Elder Abuse Reporting, Sexual Harassment, Information Security, and privacy requirements.  Acts as the control point for the office to ensure that all CIP, BSA, OFAC requirements, procedures and time frames are met.

Essential Duties

  • Effectively manage and execute multiple audits simultaneously.
  • Responsible for annual audit planning process, including risk assessment.
  • Responsible for resource allocation and compliance team scheduling
  • Ensure the overall quality, consistency, risk management and adherence to the Internal Audit Charter and Standards, identifying opportunities for audit process improvements.
  • As directed by the Chief Auditor, assist external auditors and regulators in the execution of their audits/ examinations
  • Be knowledgeable with current and pending compliance laws and regulations.
  • Ensure compliance auditors maintain appropriate knowledge of current and pending compliance laws and regulations.
  • Ensure continuous process for improvements of audit documentation, templates, and instructions.
  • Supervise compliance auditors.
  • Manage special projects at the request of the Chief Auditor.
  • Develop and maintain collaborative working relationships with management, learning and understanding the business to better provide value-added services, help management achieve objectives, and enhance customer satisfaction.
  • Maintain a professional development plan to continually develop technical, interpersonal and management skills.

Education and Experience

  • BS or BA Degree required, preferred majors in Accounting, Business Administration, Finance, or Economics or equivalent work experience required. Supervisory experience required.
  • Six or more years of compliance, internal audit, risk management, regulatory agency or related experience required
  • Banking/ financial services experience strongly preferred
  • Strong working knowledge of consumer compliance laws and regulations including Regulation Z, Regulation DD, Regulation E, Flood, Fair Lending, CRA, Privacy as well as BSA/AML/OFAC requirements and applicable commercial compliance laws and regulations
  • Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS) or other related certification strongly preferred.
  • Thorough knowledge of internal auditing and bank regulatory standards