Internal Auditor II - Compliance

First National Bank

2d•$62,047 - $102,377•Hybrid

About The Position

The Internal Auditor II - Compliance is responsible for the timely execution of assigned audits. The successful candidate is an experienced compliance auditor and/or has banking compliance management experience and is expected to use their auditing or industry expertise to be highly effective and positively impact the work of the department. The Auditor II displays a willingness to learn and contributes to an inclusive team environment, and collaborates collectively with others. Audit Oversight and Consulting: Maintain a comprehensive knowledge of banking laws and regulations and best practices in the industry. Effectively provide audit consulting services to FNBO/FNNI - Maintain level of expertise through ongoing and continual review of regulatory and industry publications to stay aware of new developments impacting the organization. Research and resolve escalated issues from team members and/or internal business partners. Work with stakeholders on audit related and risk management initiatives to ensure the organization is taking appropriate actions to meet the goals and strategic plans of the organization. Understand how to build relationships with others (e.g. the team, department, and business partners) Audit Execution: Execute audits at the direction of the Senior Auditor or Supervisor: Audit Planning – Analyze business functions and compliance risk of assigned internal business partners and assist in setting the audit scope and developing the related Audit Program Guides/test steps. Promote and execute audit. Fieldwork – Execute control and/or compliance testing and related audit program. Ensure audit procedures will meet the objectives of the audit scope. Apply critical thinking skills upon performing test work. Analyze audit results and assess disposition. Display humility and an openness to coaching and feedback, and demonstrate the ability to provide coaching and development support to others when given an opportunity. Wrap-up – Report audit results to management. Identify and produce issue summaries that clearly state the business objectives; understand root cause and provide possible resolutions. Risk Assessment: Aid Director, Supervisor, or Senior Auditor in updating audit universe assessments. Compliance: Understand and comply with bank policy, laws, regulations, and the bank's BSA/AML Program, as applicable to your job duties. Complete compliance training and adhere to internal procedures and controls, as required. Report any known violations of compliance policy, law, or regulations. Report any suspicious customer and/or account activity. Professionalism/Attendance: Maintain professional behavior with internal business partners and department members. Develop partner relationships to assist in identifying potential partnering opportunities and obtaining knowledge of the department of new products/services to identify emerging compliance risks. Know the Company Goals and understand your Key Accountabilities. Personal Development: Identify personal development goals to obtain or build upon desired skill sets. The supporting development activities may include involvement in Committees, cross-training opportunities, professional certifications etc. Actively pursue industry specific expertise and professional certification to prepare for the next level. The Ideal Candidate for This Role: Knowledge, Skills, and Abilities In completing this work, an Internal Auditor II should conduct work in this manner and with the following skills and abilities: Above average administrative, oral, and written communication skills Strong analytical skills Collaboration Adaptability Initiative Learning Orientation Accountability Problem Solving Auditing Principles and Tools Relationship Management Technical Communication/Presentation

Requirements

Bachelor’s degree in Business or related degree.
2+ years of compliance audit or compliance management experience with a bank or financial institution(2LOD/Compliance related role). (Securities Trading, Wealth Management, or Non-Consumer Banking related compliance would not be considered applicable experience for this position).
Candidates must possess unrestricted work authorization and not require future sponsorship.

Nice To Haves

Certified Internal Auditor (CIA) and/or bank compliance expertise related certification: Certified Regulatory Compliance Manager (CRCM)
Certified Anti-Money Laundering Specialist (CAMS)
Working knowledge of data analytics

Responsibilities

Maintain a comprehensive knowledge of banking laws and regulations and best practices in the industry.
Effectively provide audit consulting services to FNBO/FNNI
Maintain level of expertise through ongoing and continual review of regulatory and industry publications to stay aware of new developments impacting the organization.
Research and resolve escalated issues from team members and/or internal business partners.
Work with stakeholders on audit related and risk management initiatives to ensure the organization is taking appropriate actions to meet the goals and strategic plans of the organization.
Understand how to build relationships with others (e.g. the team, department, and business partners)
Execute audits at the direction of the Senior Auditor or Supervisor
Analyze business functions and compliance risk of assigned internal business partners and assist in setting the audit scope and developing the related Audit Program Guides/test steps.
Promote and execute audit.
Execute control and/or compliance testing and related audit program.
Ensure audit procedures will meet the objectives of the audit scope.
Apply critical thinking skills upon performing test work.
Analyze audit results and assess disposition.
Display humility and an openness to coaching and feedback, and demonstrate the ability to provide coaching and development support to others when given an opportunity.
Report audit results to management.
Identify and produce issue summaries that clearly state the business objectives; understand root cause and provide possible resolutions.
Aid Director, Supervisor, or Senior Auditor in updating audit universe assessments.
Understand and comply with bank policy, laws, regulations, and the bank's BSA/AML Program, as applicable to your job duties.
Complete compliance training and adhere to internal procedures and controls, as required.
Report any known violations of compliance policy, law, or regulations.
Report any suspicious customer and/or account activity.
Maintain professional behavior with internal business partners and department members.
Develop partner relationships to assist in identifying potential partnering opportunities and obtaining knowledge of the department of new products/services to identify emerging compliance risks.
Know the Company Goals and understand your Key Accountabilities.
Identify personal development goals to obtain or build upon desired skill sets.
Actively pursue industry specific expertise and professional certification to prepare for the next level.