Compliance Audit Manager

5 days ago

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Sunflower Bank, N.A.

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Sunflower Bank, N. A. is a community-focused bank offering a range of financial services including personal and business banking, wealth management, and lending solutions. The bank is dedicated to investing in communities through community reinvestment, volunteering, and philanthropic efforts. It provides customized financial plans for privately-held businesses and offers specialized services such as treasury management and employee benefits. Sunflower Bank is committed to fostering client success with a relationship-focused approach and offers products like high-yield accounts and home loans. With roots in community service, they aim to support families and businesses, promoting financial growth and stability.

Commercial Banking • Business Banking • SBA Preferred Lending • Personal Banking • Private Banking

1001 - 5000 employees

Founded 1892

🏦 Banking

💸 Finance

👥 B2C

📋 Description

• Develop and implement a Compliance risk assessment methodology to identify key banking compliance and consumer protection risks. • Coordinate with the Director of Internal Audit to develop a Compliance Audit Plan. • Build and nurture relationships with key members of management to promote internal audit involvement and to serve as a resource without compromising objectivity. • Participate in an advisory capacity in project teams elsewhere in the Bank, including systems or operational implementation projects, working committees, and other special projects. • Manage any third-party vendor resources engaged to perform compliance audit testing. • Assist in ensuring that department processes are carried out in accordance with the IIA International Standards for the Professional Practice of Internal Auditing. • Assist in reporting on audit activities to the Board of Directors on a regular basis. • Manage documentation and testing of Bank processes and systems in scheduled audits and other projects. • Review and approve audit workpapers. • Perform and oversee testing. • Ensure that audit objectives are met. • Shape issues noted and draft or review written recommendations. • Ensure an informative written report on audit scope and results are issued on each audit. • Oversee follow-up efforts to ensure adequate remediation of issues noted prior to closure. • Assist in managing the Bank’s open issues listing, which contains not only internal audit issues but also those identified by external auditors, regulators, and others. • Assist in leading the Internal Audit team, including setting strategy, enhancing departmental processes, initiating internal improvements, role modeling desired approach, and acting as a change agent. • Perform the job in accordance with applicable industry laws and regulations as well as the policies and procedures established by the company. • Responsible for upholding Fair and Responsible Banking practices and Code of Ethics and Conduct guidelines. • Perform other duties as assigned.

🎯 Requirements

• 5-7 years of Prior Banking Compliance and/or Consumer Protection regulation experience required. • Compliance Risk and Compliance Manager (CRCM) or Prior experience working with the Consumer Financial Protection Bureau (CFPB) regulators and regulations. • Sound professional judgment, critical thinking, analytical and problem-solving skills. • (CIA, CRCM, CERP or other relevant professional designation preferred)

🏖️ Benefits

• 401(k) Plan with 6% Match • Health/Dental/Vision Insurance • Company-paid Life Insurance • Tuition Reimbursement • Fitness Reimbursement • Paid Time Off • Volunteer Leave • Paid Holidays • Plus many more employee perks & incentives!