VP, Compliance Manager (BSA/AML)

Los Angeles, CA

2021-04-22

Our client, a notable and large bank has been growing at a rapid rate and is adding a completely NEW role reporting to the SVP, Chief Internal Auditor of the entire department. You will plan, coordinate, and conduct complex compliance audits across the organization's central operations, admin departments, and lending units, always acting as an advisor and problem solver as a leader within the department.

Who you are:

  • Bachelors degree in accounting, business, finance, or related field preferred.
  • At least 8-10 years compliance audit and/or compliance experience in financial services and specifically related to consumer compliance/BSA/AML.
  • CAMS certification required
  • Strong understanding of compliance, internal control theory and audit techniques.
  • Effective project management skills. Strong analytical skills and a good understanding of computer-assisted audit techniques. Must be a team player.

What you’ll do:

  • Plans and designs risk-based audits in assigned compliance areas to determine the nature of operations and adequacy of internal controls. 
  • Evaluates the adequacy and effectiveness of internal control methods, policies, and procedures, and verifies compliance with laws and regulations.
  • Prepares professional work papers including supporting documentation for each audit issue identified.
  • Oversees staff assignments to ensure completion within established time budgets.
  • Immediately informs the Chief Internal Audit of any conditions that may adversely impact the audit or the Company’s safety and soundness.
  • Prepares Exit Grid with findings and recommendations for the review and approval of the Audit Manager and Chief Internal Auditor.
  • Recommend the scope of audit testing and the resources needed, including the use of computer assisted auditing techniques (CAAT)
  • Performs fraud investigations as assigned.
  • Provides on-the-job training to Sr. Auditors.
  • Performs special projects as assigned by the Chief Internal Auditor.

Why work here:

  • Open door policy: Curious minds and solution focused brainstorming is encouraged here!
  • Industry leader: learn from Managers and Executives who have driven this firm's growth over the years to make it into the successful business it is today
  • Competitive salary and great work/life balance

Please send your resume to Marissa at mdavis@provenrecruiting.com if you have the requisite qualifications and are interested in the opportunity.

#LI-MD

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