Senior Director Audit-Enterprise Compliance

Overview

This is a hybrid role with the expectation that time working will regularly take place inside and outside of a company office. 3 days a week in office in Charlotte, NC or Raleigh, NC. Open to remote in several markets for highly qualified candidates.

This Senior Director Audit-Enterprise Compliance position is responsible for directing, managing, and implementing the annual audit plan for Enterprise Compliance including Corporate Compliance, Integrated Compliance and Financial Crimes Compliance through senior-level management and professional level teams. Supports and assists with the strategic development and implementation of the coverage strategy, operational plans, policies, and mission within Internal Audit to protect organizational assets while ensuring compliance with regulations. Collaborates with other members of executive management team to build and foster strategic, productive, and influential relationships. Assists with the development of procedures to support audit infrastructure and personnel. Maintains a significant span of control through personal leadership and will serve as a non-voting member/attendee to the key compliance management sub-committees building influential relationships with key parties.

• Business Strategy - Oversees the audit scope and strategy for the Compliance audit universe including AML/BSA. Analyzes business processes to identify efficiencies, key objectives, and optimal level of control and risks. Utilizes external networks and other resources to keep current on and lead discussions on industry risks, regulatory updates, and pronouncements to assess relevancy and impact to the Bank. Keeps senior management, and staff informed of trends and best practices and regulations affecting internal audit which contribute to the development of the audit plan. Supports the continuous improvement of audit methodologies, audit approach and related practices with particular emphasis towards leveraging the use of analytics, technologies and tools.
• Risk Mitigation - Oversees and leads the investigation and management of key inter-dependencies that impact business unit and corporate risk. Monitors and makes recommendations on risk assessment strategies, goals, and processes to ensure maximum coverage of the Bank. Supports the annual risk assessment and recommends high leverage action to reduce risks.
• Managerial Functions - Establishes an internal audit plan and assigns activities for assigned areas of responsibility. Directs short and long-term development of associates across the department. Provides leadership and oversight to Internal Audit. Identifies projects, functions, or areas to be audited. Manages the recruitment, training, development, retention, and evaluation of direct and indirect reports. Provides audit and professional development to enhance performance. Oversees special projects and other initiatives.
• Relationship Development - Collaborates with key stakeholders including Bank senior and functional leadership and internal audit partners, building and fostering strategic, productive, and influential relationships. Addresses and provides recommendations on complex risks and regulatory issues. Maintains influential relationships with management, external auditors, and regulators. Serves on compliance related management committees and liaises with key parties to represent department.

• Knowledge of regulatory major areas of focuses including Consumer Compliance Regulations, FFIEC Guidance, Stress Testing, Model Risk Management, Capital Planning and Forecasting, Enterprise Risk Management, and Operational Risk Management, Data Governance, etc.,
• Knowledge of Generally Accepted Accounting Principles (GAAP), SEC Rules, and SOX Act, Ability to demonstrate courage and independence when communicating with executive management and senior leadership when presenting complex issues, recommendations, and audit opinions.,
• Ability to travel as needed.

• Certified Regulatory Compliance Manager (CRCM), Certified Anti-Money Laundering Specialist (CAMS)
• Knowledge of Consumer Compliance Regulations, AML/BSA Compliance, FFIEC Guidance, Compliance Risk Management, Enterprise Risk Management, Operational Risk Management, Data Governance, etc.
• Ability to demonstrate courage and independence when communicating with executive management and senior leadership when presenting complex issues, recommendations, and audit opinions.