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Support the Compliance Management System established by the Chief Compliance Officer (CCO) to ensure compliance with applicable consumer banking and regulatory requirements by completing compliance testing and quality control reviews using established monitoring procedures to determine effectiveness of internal controls within the business units.
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Ten or more years of financial services credit review/credit risk management experience through: past work in credit/loan review, credit risk management, internal audit credit risk coverage, commercial loan underwriting departments at large banking institutions; regulatory agency credit review/credit risk experience; or credit review/credit risk experience at a large consulting firm.
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Coordinating audit activities by integrating other internal audit subject matter teams (e.g., Consumer and Business Banking, Compliance, Risk Management, Basel, Capital Management, Data, etc.
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Expert understanding of risk management frameworks (e.g., global compliance risk management, control programs, change management, and third-party risk management) across products/services, systems and associated risks/controls and their impact to credit risk exposures.
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Twelve or more years of progressive experience in internal auditing, public accounting, credit risk advisory, credit related regulatory oversight, or credit review at large banking institutions.
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Understanding of the Institute of Internal Auditors' Standards and the common definition of internal controls. Develop and deepen relationships through regular interactions with key internal and external stakeholders that include but are not limited to: senior management; internal control partners; regulatory agencies; external auditors; external subject matter experts; and industry peers.
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Expert understanding of applicable laws, regulations, financial services, and regulatory trends that impact credit risk management, particularly related to credit review activities. The Senior Audit Manager will have strong knowledge of audit, risk management, and regulatory expectations (e.g., Office of the Comptroller of Currency's Heightened Standards and Federal Reserve Board's Large Financial Institution Rating System) at large financial institutions.
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The Consumer & Compliance Auditor will seek a thorough understanding of processes related to consumer/mortgage loans, deposit products and services, regulatory compliance (specifically consumer protections laws and regulations), and branch and product delivery.
$61,649.2 - $83,180 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Ensure a high degree of operational excellence with internal controls, regulatory compliance, and audit related matters, providing strategic leadership and guidance to the division.
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In collaboration with the Assistant Branch Manager, oversee daily branch operations, including security and compliance with credit union policies and regulatory requirements. Implement and maintain effective internal controls to safeguard credit union assets.
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2+ years Mortgage, Risk, Compliance or Audit management experience, understanding of loan origination and/or fulfillment and underwriting processes. Supports the overall management of and research required for regulatory exams, internal audits, and other monitoring and inspection reviews and evaluates data and information relevant to inspection metrics to support governance activities for dashboard reporting.
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Support regulatory and internal audit inquiries and targeted assessments. Audit, Exam and Assessment coverage will include First Mortgage, Home Equity, Small Business, Consumer Card Underwriting and Consumer Vehicle Lending; for Consumer and Small Business , Merrill and Custom Mortgage.
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Job expectations include monitoring and testing controls and implementing quality assurance and quality control processes within the LOB or ECF by evaluating data to help identify, track, and report issues and control improvements for remediation.
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Implements optimized controls and enhanced Quality Assurance (QA) practices to support business continuity efforts. Supports the monitoring and testing of controls by evaluating data to identify issues and control improvements for remediation.
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Performs QA activities including executing on controls, managing cases, and reporting results. This job is responsible for driving and executing on internal control discipline and operational excellence within a Line of Business (LOB) or Enterprise Control Function (ECF.
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consumer loan regulatory compliance internal controls jobs in IN, United Kingdom
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