At a glance
Location: US-CA-San Francisco
Posted: 4/3/2021
Closing: 5/2/2021
Degree: Not Specified
Employment Type: Full-Time
Experience: Not Specified
Compliance Manager
Robert Half
Job description
Ref ID: 00412-0010587540

Classification: Compliance Auditor

Compensation: $130000.00 to $150000.00 yearly

Jeff.Abrams is searching for a Compliance Manager.


This is a very interesting and unique practice group and Internal Audit Manager role! You will be on the front lines with the FDIC and CDBO regulators. This team provides audit oversight to the Internal Audit departments and designs the methodology and standards that the Internal Audit teams uphold.


The hiring manager is AMAZING too. She will make for an excellent mentor and business partner.


Our client and its subsidiaries offer private banking, private business banking and private wealth management solutions to their clients. They specialize in delivering exceptional, relationship-based service, with a solid commitment to responsiveness and action. Spanning the whole country, this firm offers a complete line of banking products for individuals and businesses, including deposit services, as well as residential, commercial and personal loans.


The Internal Audit Professional Practices Group is responsible for developing and maintaining the audit standards and procedures that support the operations and infrastructure of the Internal Audit department. 

This includes:


• Preparing for and responding to external regulatory examination requests


• Managing and reporting Internal Audit validation of regulatory findings


• Tracking and reporting status of Internal Audit findings to executive management


• and continuously improving audit methodologies, practices, and tools. 


The Internal Audit Manager of Professional Practices reports to the VP of Internal Audit Professional Practices. You will be responsible for liaising with Regulatory Affairs and Internal Audit teams to prepare, coordinate, and submit responses to examination requests from federal and state regulatory agencies (primarily the FDIC and CDBO). This position is also responsible for coordinating the validation of regulatory findings, including supporting the Regulatory Issue Validation Program by working with audit teams to conduct validation of management remediation efforts as applicable to audit scope.


Highlights: 


• Internal Audit Group has grown from 10 people in 2012 to 48 people in 2018!


• The firm has IT Audit, Compliance Audit, Finance/Operations Audit, Wealth Management Audit, and Professional Practices Group which audits the 4 lines.


• This Team has 3 Managers (this is the 3rd) and 1 Senior Analyst


• This position is the key person to understand all the different issues we have from across the Internal Audit function and will communicate to the FDIC.


• We want someone with strong relationship management capabilities for internal and regulatory affairs management.


• A sense of urgency is important as there is usually a 24 hour turnaround when regulator request.


Perks:


• 3 weeks’ vacation, 72 hours sick time (9 days)


• 401(k) – 4% match, immediately vested


• 16 hours paid volunteer service


• Day off for your birthday (within 60 days)


• Tuition Assistance & Repayment programs

ESPP – Employee Stock Purchase Plan!

Job requirements



Qualifications:


• Bachelor’s degree required, preferably in Business, Finance and Operations, or related fields


• Minimum of eight years of relevant experience, preferably in a financial services environment or Big 4 assurance experience, primarily focused in internal audit, enterprise-wide risk management, business risk, or regulatory risk consulting

Able to act decisively in making solid, informed judgment calls in response to critical regulatory environment and day-to-day business



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