Compliance Senior

The Audit and Assurance Department of one of the fastest-growing accounting firms in the country is seeking a Compliance Senior who is motivated to learn, excited to collaborate and passionate about delivering outstanding results. This individual will have a direct impact on our firm’s mission of serving as a catalyst for those striving to achieve their highest potential. 

As a member of the Audit & Assurance Services Department, you will have the opportunity to work on consulting procedures for financial institutions of various sizes and charter types. The Compliance Senior will assist the Engagement Partner, Manager, and/or Supervisor in the development of strategy, planning, review and interpretation of findings. The Senior may work with compliance staff at the client’s premises, managing the engagement in the field and performing consulting procedures to the appropriate extent. You will work with a team of people that care about your professional development and work-life balance. 

What You’ll Do:

• Responsible for the completion of compliance consulting engagements
• Conduct consulting procedures of client institution records to evaluate compliance with applicable rules, regulations and related guidance
• Determine the effectiveness of internal controls and the potential impact of internal control deficiencies
• Examine records to determine compliance with client institution policies
• Prepare working papers and select portions of reports detailing the findings and recommendations for client institutions 
• Prepare working paper binders and select samples related to upcoming consulting procedures
• Provide training and on the job support to various team members

What We’re Looking For:  

• Excellent written and verbal communication skills 
• Client service oriented with the ability to interact at all levels of management 
• Ability to work autonomously 
• Strong organizational skills and detail oriented 
• Strong analytical, mathematical, and critical thinking abilities 
• Shows ambition, drive, and takes initiative for all tasks
• Ability to multitask and handle several engagements at a time
• Displays a foundational knowledge of federal compliance regulations related to lending, with knowledge of Bank Secrecy/anti-money laundering, deposit operations, ACH, ALM, or internal audit/DE considered a plus, and begins to interpret and apply this knowledge to client situations
• Microsoft Office proficiency including Excel, Word, Outlook, and Teams
• Adobe Acrobat proficiency
• Ability to travel to client sites that may also require overnight travel

Your Qualifications:

• Bachelor’s degree in a business-related field, or three years of experience in a compliance-related position at a financial institution, with an emphasis on lending compliance
• Compliance-related professional designation is a plus
• Two to five years of auditing experience preferred
• Understanding of consulting services
• Experience utilizing Fieldguide and data analytic software (Centrax, Excel, APRWin, APYWin, one or more AML monitoring systems, etc.)