Audit Manager (Compliance and Operational Risk)

Role: Audit Manager – Compliance and Operational Risk

Location: Charlotte, NC, USA
Industry: Leading Bank
Work Requirements: US Citizens, GC Holders or Authorized to Work in the US
Travel: Occasionally

Job Description

Our client, one of the biggest banks, is seeking an Audit Manager for Compliance and Operational Risk to oversee audit activities and execute audit strategies for various Lines of Business (LOBs). This role involves developing audit plans, evaluating risks, and ensuring timely reporting to management. You will be responsible for fostering an inclusive work environment and mentoring team members while maintaining relationships with business partners.

Job Responsibilities:

• Provide subject matter expertise on compliance and operational risk frameworks and possess a strong understanding of the financial services industry.
• Plan, perform, and lead compliance and operational risk audits at the enterprise level.
• Apply knowledge of risk management frameworks and regulations, such as Basel, Heightened Standards, SR 08-8, Fed 13-1, and Enhanced Prudential Standards.
• Conduct audit reviews for risk appetite, risk governance, risk culture, RCSA programs, loss data, and second line monitoring and testing programs.
• Manage audit staff during engagements and provide feedback on their performance.
• Design and perform audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes.
• Utilize data and analytical tools during audit planning, fieldwork, and reporting phases.
• Communicate audit project results to management through written reports and oral presentations.
• Establish and build relationships with internal and external management.
• Perform risk assessments of business activities, potential risk exposures, and materiality of loss.
• Demonstrate experience in managing integrated internal audit and assurance delivery.
• Effectively influence and communicate findings to management.
• Maintain and manage business partner relationships to develop business knowledge.
• Oversee a team of associates, providing mentoring and guidance, and fostering an inclusive work environment.
• Apply knowledge of product, business, and technical expertise to challenge management and improve the control environment.

Job Requirements:

• Bachelor's degree.
• Minimum of 5 years of audit experience related to compliance and operational risk management programs and regulations.
• At least 5 years of experience conducting compliance and/or operational risk audits in financial services.
• At least 3 years of experience leading audits and performing the role of auditor-in-charge.
• Proficiency in internal audit review, issue management, risk management, and audit planning.
• Strong analytical thinking, project management, and relationship-building skills.
• Excellent business acumen, coaching, written communications, and technical documentation skills.
• Attention to detail and critical thinking.

Preferred Requirements:

• Master’s Degree in Auditing, Accounting, Finance, or Business Administration.
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE).

Audit International