Compliance Audit Manager
About The Position
Happen Bank Internal Audit provides independent, objective assurance and consulting services that strengthen the company’s operations. As trusted partners, we help the business achieve its goals by taking a systematic and disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. As Happen Bank continues to grow and evolve, so does our Internal Audit team. We’re looking for an experienced and adaptable Compliance Audit Manager who thrives in a dynamic environment and embraces change. In this role, the candidate will bring internal audit and financial services experience to deliver audit assurance and to help innovate the function’s methods, tools, and assurance capabilities.
Requirements
- 6+ years of Internal Audit or related experience, ideally within financial services
- Bachelor's degree or higher, or equivalent combination of education and experience
- Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain)
- 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
Responsibilities
- Lead and perform moderate to high-complexity audit work with limited supervision
- Identify key risks across end-to-end processes and develop risk-based audit scopes and test plans
- Execute and document audit procedures in accordance with Institute of Internal Auditors (IIA) standards
- Provide guidance and mentorship to audit team members throughout audit execution, fostering collaboration and professional growth
- Partner with business leaders to validate findings, identify root causes, and agree on practical, sustainable corrective actions—while maintaining professional independence
- Monitor management’s progress on remediation efforts and validate completed actions
- Support department-wide projects and initiatives to enhance Internal Audit methodologies, tools, and assurance capabilities
- Own and advance the Bank's established Compliance and Financial Crimes Compliance coverage strategies, refining them over time to ensure complete regulatory coverage with risk-proportionate auditing.
- Stay current on emerging audit standards, regulatory changes, and industry trends, and share insights with the broader team
- Leverage artificial intelligence throughout the audit lifecycle, including annual planning, risk assessment, audit planning, fieldwork, and reporting, to enhance efficiency, consistency, and insight generation
- Work cross-functionally to advance the Bank's compliance monitoring capabilities toward real-time, continuous compliance auditing through the application of data analytics, AI, and LLMs
Benefits
- medical, dental and vision plans for employees and their families
- 401(k) match
- health and wellness programs
- flexible time off policies for salaried employees
- up to 16 weeks paid parental leave
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
