1,392 Audit Professional jobs in the United States
Manager, Internal Audit, Professional Practices- Reporting
76262 Santa Rosa, Texas
Charles Schwab
Posted 16 days ago
Job Viewed
Job Description
**Your opportunity**
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments of whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
The Professional Practices Group (PPG) within IAD provides the processes, training, and tools to support the audit teams' adherence to standards and expectations of quality and consistency. The Reporting team is a critical function within PPG that provides the reporting and analysis of internal audit activities and results to the leadership team, regulators, and to CSC's governance committees to support their effective oversight.
The Manager of Reporting is an individual contributor role that reports to the Director of Reporting. The Manager of Reporting role is responsible for assisting with managing and analyzing Internal Audit activities, and reporting accurate and timely results to IAD leadership, the Audit Committee, risk management committees, and regulatory agencies.
This function is based in the pacific time zone. As such, the ability to work on pacific time is mandatory.
**What you'll do:**
+ Assist in managing the annual governance reporting calendar and preparation/project management of IAD reports to executive level risk committees, including the Audit Committee
+ Perform daily monitoring and quality control reviews and transmittal of reports and communications, including final Internal Audit Reports to internal and external stakeholders and regulators
+ Perform monthly analyses and ongoing quality reviews of Internal Audit Plan and Issues data within the departmental systems of record
+ Prepare governance reporting materials for reporting to the Audit Committee, executive level risk committees, the first and second line of defense, and regulatory agencies
+ Assist with scheduling leadership's review of governance reports
+ Project manage the receipt of governance reporting content, including requests for information, review and challenge of information received for appropriateness, and follow-up, as needed
+ Collaborate with multiple stakeholders across IAD and the Company to meet regulatory requirements, reporting requirements, and address feedback from IAD leadership
+ Design and develop new recurring and ad-hoc reporting materials based upon requests from internal and external stakeholders
+ Perform monthly survey submissions and reporting of results to multiple stakeholders
+ Assist with management of a shared Outlook mailbox and provide subject matter expertise to audit teams and stakeholders related to Internal Audit Reporting
+ Assist with maintenance of the document repository containing IAD governance reports, support documentation, and evidence of IAD management approvals
+ Assist with managing the Reporting team's SharePoint site
+ Maintain updated procedure documents for the evolving Internal Audit Reporting activities performed
+ Compile ad-hoc regulatory requests of Internal Audit Reporting information
+ Assist with projects related to the responsibilities above, including tool updates and identification of process improvements
**What you have**
+ 5+ years of experience in internal audit
+ Outstanding accuracy, attention to detail, analytical skills, and problem-solving skills
+ Outstanding project management skills, with the ability to effectively manage several projects at once with different deadlines and deliverables
+ Strong written skills with demonstrated ability to communicate effectively across all levels, including executive management, board committees, and regulators
+ Strong learner that can easily adapt and operationalize process changes
+ Self-starter, proactive, and able to work with minimal supervision
+ Bachelor's degree required
+ CPA, CIA, or CISA strongly preferred. Other relevant certifications will be considered
+ Proficiency with MS Office tools. Intermediate to advanced Microsoft Excel skills. Certent Disclosure Management experience a plus
+ Ability to work on Pacific Time
+ Ability to travel 5%
**What's in it for you**
At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration-so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you - both today and in the future:
+ 401(k) with company match and Employee stock purchase plan
+ Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
+ Paid parental leave and family building benefits
+ Tuition reimbursement
+ Health, dental, and vision insurance
What's in it for you:
At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you - both today and in the future:
401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance
Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at or call .
The Internal Audit Department (IAD) of The Charles Schwab Corporation provides independent and objective assessments of whether all significant risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to evaluate whether risks are adequately controlled, and to challenge Executive Management to improve the efficiency of governance processes, risk management, and internal controls.
The Professional Practices Group (PPG) within IAD provides the processes, training, and tools to support the audit teams' adherence to standards and expectations of quality and consistency. The Reporting team is a critical function within PPG that provides the reporting and analysis of internal audit activities and results to the leadership team, regulators, and to CSC's governance committees to support their effective oversight.
The Manager of Reporting is an individual contributor role that reports to the Director of Reporting. The Manager of Reporting role is responsible for assisting with managing and analyzing Internal Audit activities, and reporting accurate and timely results to IAD leadership, the Audit Committee, risk management committees, and regulatory agencies.
This function is based in the pacific time zone. As such, the ability to work on pacific time is mandatory.
**What you'll do:**
+ Assist in managing the annual governance reporting calendar and preparation/project management of IAD reports to executive level risk committees, including the Audit Committee
+ Perform daily monitoring and quality control reviews and transmittal of reports and communications, including final Internal Audit Reports to internal and external stakeholders and regulators
+ Perform monthly analyses and ongoing quality reviews of Internal Audit Plan and Issues data within the departmental systems of record
+ Prepare governance reporting materials for reporting to the Audit Committee, executive level risk committees, the first and second line of defense, and regulatory agencies
+ Assist with scheduling leadership's review of governance reports
+ Project manage the receipt of governance reporting content, including requests for information, review and challenge of information received for appropriateness, and follow-up, as needed
+ Collaborate with multiple stakeholders across IAD and the Company to meet regulatory requirements, reporting requirements, and address feedback from IAD leadership
+ Design and develop new recurring and ad-hoc reporting materials based upon requests from internal and external stakeholders
+ Perform monthly survey submissions and reporting of results to multiple stakeholders
+ Assist with management of a shared Outlook mailbox and provide subject matter expertise to audit teams and stakeholders related to Internal Audit Reporting
+ Assist with maintenance of the document repository containing IAD governance reports, support documentation, and evidence of IAD management approvals
+ Assist with managing the Reporting team's SharePoint site
+ Maintain updated procedure documents for the evolving Internal Audit Reporting activities performed
+ Compile ad-hoc regulatory requests of Internal Audit Reporting information
+ Assist with projects related to the responsibilities above, including tool updates and identification of process improvements
**What you have**
+ 5+ years of experience in internal audit
+ Outstanding accuracy, attention to detail, analytical skills, and problem-solving skills
+ Outstanding project management skills, with the ability to effectively manage several projects at once with different deadlines and deliverables
+ Strong written skills with demonstrated ability to communicate effectively across all levels, including executive management, board committees, and regulators
+ Strong learner that can easily adapt and operationalize process changes
+ Self-starter, proactive, and able to work with minimal supervision
+ Bachelor's degree required
+ CPA, CIA, or CISA strongly preferred. Other relevant certifications will be considered
+ Proficiency with MS Office tools. Intermediate to advanced Microsoft Excel skills. Certent Disclosure Management experience a plus
+ Ability to work on Pacific Time
+ Ability to travel 5%
**What's in it for you**
At Schwab, you're empowered to shape your future. We champion your growth through meaningful work, continuous learning, and a culture of trust and collaboration-so you can build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you - both today and in the future:
+ 401(k) with company match and Employee stock purchase plan
+ Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
+ Paid parental leave and family building benefits
+ Tuition reimbursement
+ Health, dental, and vision insurance
What's in it for you:
At Schwab, we're committed to empowering our employees' personal and professional success. Our purpose-driven, supportive culture, and focus on your development means you'll get the tools you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances our ongoing commitment to workplace flexibility, serving our clients, and our strong belief in the value of being together in person on a regular basis.
We offer a competitive benefits package that takes care of the whole you - both today and in the future:
401(k) with company match and Employee stock purchase plan
Paid time for vacation, volunteering, and 28-day sabbatical after every 5 years of service for eligible positions
Paid parental leave and family building benefits
Tuition reimbursement
Health, dental, and vision insurance
Schwab is an affirmative action employer, focused on employing and advancing in employment, qualified women, racial and ethnic minorities, protected veterans, and individuals with disabilities in the workplace. If you have a disability and require reasonable accommodations in the application process, contact Human Resources at or call .
View Now
0
Audit Manager, Professional Practice
60684 Chicago, Illinois
BMO Financial Group
Posted 1 day ago
Job Viewed
Job Description
This position offers audit support across multiple teams within the Corporate Areas Audit group, providing the opportunity to work in a variety of functional areas as the needs arise. It's an excellent way to gain broad exposure to different aspects of the bank and build a well-rounded foundation in internal audit. The ideal candidate will have a CPA, Big 4 or other consulting experience with 3-5 years experience in audit.
You will conduct audit engagements to critically assess management and internal control processes. You will report on audits to provide clear, concise insights on issues and potential issues to assist management in fulfilling mandates. This work is instrumental in identifying unacceptable/high risk circumstances that could lead to material impact on profitability or reputation. Provides independent assurance on the quality and effectiveness of internal control, risk management, and governance systems and processes to support senior management and the Board in protecting BMO and its reputation.
*This is a hybrid role requiring 3 days in the local office (subject to change)
+ Acts as a trusted advisor to assigned business/group.
+ Influences and negotiates to achieve business objectives.
+ Identifies emerging issues and trends to inform decision-making.
+ Provides critical input to Chief Auditor/Assistant Chief Auditor on the practical aspects of the audit and its execution.
+ Helps to develop annual audit plan.
+ Provides input into Corporate Audit processes identifying opportunities to simplify.
+ Executes audits in full recognition of the risks of the group that encompass the inherent risks, control risks and internal/external environment and regulatory risks. This may encompass individual audits and broader capstone audits of Enterprise level functions/processes.
+ Conducts advisory engagements and other engagements as required.
+ Determines impact of changing strategies, tactics, risks and initiatives on audit, advisory and investigative services.
+ Identifies and evaluates the impact of new and emerging technology and technology risk on the organization's processes and control environment.
+ Utilizes data analytics in advisory engagements to improve quality and efficiencies.
+ Develops an awareness of business strategies, policies and standards providing meaningful insights based upon knowledge and research which will continue to improve the Enterprise management and control processes.
+ Maintains the independence of the audit practice and its personnel.
+ Develops insightful discussion points contributing to audit reports that provides fair and balanced assessment of governance, risk and control processes based on audit work performed. Deliverables must be objective, clear, concise and timely.
+ Identifies control deficiencies and provides a fair and balanced assessment of their magnitude.
+ Maintains working knowledge of the industry, regulatory, broad economic environment, and internal environment, as to the development of new strategies and plans, opportunities and risk, to obtain an understanding of the control environment.
+ Ensures that all audit procedures executed are conducted in accordance to Corporate Audit Methodology as confirmed by it's Quality Assurance program and/or regulatory examination results.
+ Applies sound judgement in the execution of the assigned work and ensures open lines of communication.
+ Develops and maintains good working relations with key stakeholders.
+ Actively monitors change management initiatives and identifies potential risks.
+ Actively participates and supports Corporate Audit change initiatives.
+ Maintains and enhances professional audit qualifications in line with industry standards.
+ Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
+ Provides specialized consulting, analytical and technical support.
+ Exercises judgment to identify, diagnose, and solve problems within given rules.
+ Works independently and regularly handles non-routine situations.
+ Broader work or accountabilities may be assigned as needed. **Qualifications:**
+ Typically between 3-5 (+)years of relevant audit experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
+ Professional designations or business designation -CPA and a CIA would be a bonus
+ Verbal & written communication skills - In-depth.
+ Collaboration & team skills - In-depth.
+ Analytical and problem solving skills - In-depth.
+ Influence skills - In-depth.
+ Data driven decision making - In-depth.
**Salary:**
$74,000.00 - $138,000.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
You will conduct audit engagements to critically assess management and internal control processes. You will report on audits to provide clear, concise insights on issues and potential issues to assist management in fulfilling mandates. This work is instrumental in identifying unacceptable/high risk circumstances that could lead to material impact on profitability or reputation. Provides independent assurance on the quality and effectiveness of internal control, risk management, and governance systems and processes to support senior management and the Board in protecting BMO and its reputation.
*This is a hybrid role requiring 3 days in the local office (subject to change)
+ Acts as a trusted advisor to assigned business/group.
+ Influences and negotiates to achieve business objectives.
+ Identifies emerging issues and trends to inform decision-making.
+ Provides critical input to Chief Auditor/Assistant Chief Auditor on the practical aspects of the audit and its execution.
+ Helps to develop annual audit plan.
+ Provides input into Corporate Audit processes identifying opportunities to simplify.
+ Executes audits in full recognition of the risks of the group that encompass the inherent risks, control risks and internal/external environment and regulatory risks. This may encompass individual audits and broader capstone audits of Enterprise level functions/processes.
+ Conducts advisory engagements and other engagements as required.
+ Determines impact of changing strategies, tactics, risks and initiatives on audit, advisory and investigative services.
+ Identifies and evaluates the impact of new and emerging technology and technology risk on the organization's processes and control environment.
+ Utilizes data analytics in advisory engagements to improve quality and efficiencies.
+ Develops an awareness of business strategies, policies and standards providing meaningful insights based upon knowledge and research which will continue to improve the Enterprise management and control processes.
+ Maintains the independence of the audit practice and its personnel.
+ Develops insightful discussion points contributing to audit reports that provides fair and balanced assessment of governance, risk and control processes based on audit work performed. Deliverables must be objective, clear, concise and timely.
+ Identifies control deficiencies and provides a fair and balanced assessment of their magnitude.
+ Maintains working knowledge of the industry, regulatory, broad economic environment, and internal environment, as to the development of new strategies and plans, opportunities and risk, to obtain an understanding of the control environment.
+ Ensures that all audit procedures executed are conducted in accordance to Corporate Audit Methodology as confirmed by it's Quality Assurance program and/or regulatory examination results.
+ Applies sound judgement in the execution of the assigned work and ensures open lines of communication.
+ Develops and maintains good working relations with key stakeholders.
+ Actively monitors change management initiatives and identifies potential risks.
+ Actively participates and supports Corporate Audit change initiatives.
+ Maintains and enhances professional audit qualifications in line with industry standards.
+ Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
+ Provides specialized consulting, analytical and technical support.
+ Exercises judgment to identify, diagnose, and solve problems within given rules.
+ Works independently and regularly handles non-routine situations.
+ Broader work or accountabilities may be assigned as needed. **Qualifications:**
+ Typically between 3-5 (+)years of relevant audit experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
+ Professional designations or business designation -CPA and a CIA would be a bonus
+ Verbal & written communication skills - In-depth.
+ Collaboration & team skills - In-depth.
+ Analytical and problem solving skills - In-depth.
+ Influence skills - In-depth.
+ Data driven decision making - In-depth.
**Salary:**
$74,000.00 - $138,000.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
View Now
1
Audit Manager, Professional Practice
53208 Milwaukee, Wisconsin
BMO Financial Group
Posted 1 day ago
Job Viewed
Job Description
This position offers audit support across multiple teams within the Corporate Areas Audit group, providing the opportunity to work in a variety of functional areas as the needs arise. It's an excellent way to gain broad exposure to different aspects of the bank and build a well-rounded foundation in internal audit. The ideal candidate will have a CPA, Big 4 or other consulting experience with 3-5 years experience in audit.
You will conduct audit engagements to critically assess management and internal control processes. You will report on audits to provide clear, concise insights on issues and potential issues to assist management in fulfilling mandates. This work is instrumental in identifying unacceptable/high risk circumstances that could lead to material impact on profitability or reputation. Provides independent assurance on the quality and effectiveness of internal control, risk management, and governance systems and processes to support senior management and the Board in protecting BMO and its reputation.
*This is a hybrid role requiring 3 days in the local office (subject to change)
+ Acts as a trusted advisor to assigned business/group.
+ Influences and negotiates to achieve business objectives.
+ Identifies emerging issues and trends to inform decision-making.
+ Provides critical input to Chief Auditor/Assistant Chief Auditor on the practical aspects of the audit and its execution.
+ Helps to develop annual audit plan.
+ Provides input into Corporate Audit processes identifying opportunities to simplify.
+ Executes audits in full recognition of the risks of the group that encompass the inherent risks, control risks and internal/external environment and regulatory risks. This may encompass individual audits and broader capstone audits of Enterprise level functions/processes.
+ Conducts advisory engagements and other engagements as required.
+ Determines impact of changing strategies, tactics, risks and initiatives on audit, advisory and investigative services.
+ Identifies and evaluates the impact of new and emerging technology and technology risk on the organization's processes and control environment.
+ Utilizes data analytics in advisory engagements to improve quality and efficiencies.
+ Develops an awareness of business strategies, policies and standards providing meaningful insights based upon knowledge and research which will continue to improve the Enterprise management and control processes.
+ Maintains the independence of the audit practice and its personnel.
+ Develops insightful discussion points contributing to audit reports that provides fair and balanced assessment of governance, risk and control processes based on audit work performed. Deliverables must be objective, clear, concise and timely.
+ Identifies control deficiencies and provides a fair and balanced assessment of their magnitude.
+ Maintains working knowledge of the industry, regulatory, broad economic environment, and internal environment, as to the development of new strategies and plans, opportunities and risk, to obtain an understanding of the control environment.
+ Ensures that all audit procedures executed are conducted in accordance to Corporate Audit Methodology as confirmed by it's Quality Assurance program and/or regulatory examination results.
+ Applies sound judgement in the execution of the assigned work and ensures open lines of communication.
+ Develops and maintains good working relations with key stakeholders.
+ Actively monitors change management initiatives and identifies potential risks.
+ Actively participates and supports Corporate Audit change initiatives.
+ Maintains and enhances professional audit qualifications in line with industry standards.
+ Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
+ Provides specialized consulting, analytical and technical support.
+ Exercises judgment to identify, diagnose, and solve problems within given rules.
+ Works independently and regularly handles non-routine situations.
+ Broader work or accountabilities may be assigned as needed. **Qualifications:**
+ Typically between 3-5 (+)years of relevant audit experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
+ Professional designations or business designation -CPA and a CIA would be a bonus
+ Verbal & written communication skills - In-depth.
+ Collaboration & team skills - In-depth.
+ Analytical and problem solving skills - In-depth.
+ Influence skills - In-depth.
+ Data driven decision making - In-depth.
**Salary:**
$74,000.00 - $138,000.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
You will conduct audit engagements to critically assess management and internal control processes. You will report on audits to provide clear, concise insights on issues and potential issues to assist management in fulfilling mandates. This work is instrumental in identifying unacceptable/high risk circumstances that could lead to material impact on profitability or reputation. Provides independent assurance on the quality and effectiveness of internal control, risk management, and governance systems and processes to support senior management and the Board in protecting BMO and its reputation.
*This is a hybrid role requiring 3 days in the local office (subject to change)
+ Acts as a trusted advisor to assigned business/group.
+ Influences and negotiates to achieve business objectives.
+ Identifies emerging issues and trends to inform decision-making.
+ Provides critical input to Chief Auditor/Assistant Chief Auditor on the practical aspects of the audit and its execution.
+ Helps to develop annual audit plan.
+ Provides input into Corporate Audit processes identifying opportunities to simplify.
+ Executes audits in full recognition of the risks of the group that encompass the inherent risks, control risks and internal/external environment and regulatory risks. This may encompass individual audits and broader capstone audits of Enterprise level functions/processes.
+ Conducts advisory engagements and other engagements as required.
+ Determines impact of changing strategies, tactics, risks and initiatives on audit, advisory and investigative services.
+ Identifies and evaluates the impact of new and emerging technology and technology risk on the organization's processes and control environment.
+ Utilizes data analytics in advisory engagements to improve quality and efficiencies.
+ Develops an awareness of business strategies, policies and standards providing meaningful insights based upon knowledge and research which will continue to improve the Enterprise management and control processes.
+ Maintains the independence of the audit practice and its personnel.
+ Develops insightful discussion points contributing to audit reports that provides fair and balanced assessment of governance, risk and control processes based on audit work performed. Deliverables must be objective, clear, concise and timely.
+ Identifies control deficiencies and provides a fair and balanced assessment of their magnitude.
+ Maintains working knowledge of the industry, regulatory, broad economic environment, and internal environment, as to the development of new strategies and plans, opportunities and risk, to obtain an understanding of the control environment.
+ Ensures that all audit procedures executed are conducted in accordance to Corporate Audit Methodology as confirmed by it's Quality Assurance program and/or regulatory examination results.
+ Applies sound judgement in the execution of the assigned work and ensures open lines of communication.
+ Develops and maintains good working relations with key stakeholders.
+ Actively monitors change management initiatives and identifies potential risks.
+ Actively participates and supports Corporate Audit change initiatives.
+ Maintains and enhances professional audit qualifications in line with industry standards.
+ Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
+ Provides specialized consulting, analytical and technical support.
+ Exercises judgment to identify, diagnose, and solve problems within given rules.
+ Works independently and regularly handles non-routine situations.
+ Broader work or accountabilities may be assigned as needed. **Qualifications:**
+ Typically between 3-5 (+)years of relevant audit experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
+ Professional designations or business designation -CPA and a CIA would be a bonus
+ Verbal & written communication skills - In-depth.
+ Collaboration & team skills - In-depth.
+ Analytical and problem solving skills - In-depth.
+ Influence skills - In-depth.
+ Data driven decision making - In-depth.
**Salary:**
$74,000.00 - $138,000.00
**Pay Type:**
Salaried
The above represents BMO Financial Group's pay range and type.
Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group's expected target for the first year in this position.
BMO Financial Group's total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: Us**
At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.
As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We'll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience, and broaden your skillset.
To find out more visit us at is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law.
BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to and let us know the nature of your request and your contact information.
Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.
View Now
2
Audit Manager - Professional Practices
28230 Charlotte, North Carolina
Truist
Posted 16 days ago
Job Viewed
Job Description
**The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.**
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
View Now
3
Audit Manager - Professional Practices
27199 Winston Salem, North Carolina
Truist
Posted 16 days ago
Job Viewed
Job Description
**The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.**
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
View Now
4
Audit Manager - Professional Practices
27608 Glenwood, North Carolina
Truist
Posted 16 days ago
Job Viewed
Job Description
**The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.**
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
View Now
5
Audit Manager - Professional Practices
23274 Richmond, Virginia
Truist
Posted 16 days ago
Job Viewed
Job Description
**The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status.**
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
Need Help? ( you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility ( ?subject=Accommodation%20request)_
_(accommodation requests only; other inquiries won't receive a response)._
**Regular or Temporary:**
Regular
**Language Fluency:** English (Required)
**Work Shift:**
1st shift (United States of America)
**Please review the following job description:**
Participate in the management of Audit Services practices, including the Audit Methodology and related policies and procedures, and Board and Management Committee reporting.
**ESSENTIAL DUTIES AND RESPONSIBILITIES**
Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.
1. Participate in the design, development, implementation, and continuous improvement of Audit Services' policies, procedures, practices, processes and methodologies to enable a proactive, risk-based audit assurance program for Truist Corporation.
2. Provide support of 350+ Audit Services teammates in the application of audit internal operations methodologies and related policies and procedures; including responding to questions and providing guidance on an ongoing basis.
3. Participate in the design and timely implementation of special initiatives in Audit Services, including solving issues and mitigating risks with effective strategies and collaboration, initiative tracking and reporting to key stakeholders.
4. Participate in the process to develop and provide comprehensive and timely reporting of audit results to key stakeholders, including the Board of Directors and related sub-Committees, Truist's primary regulators and Audit Services' management.
5. Perform Quality Control reviews on various audit internal operations processes (i.e. risk assessments)
**QUALIFICATIONS**
**Required Qualifications:**
The requirements listed below are representative of the knowledge, skill and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
1. Bachelor's degree in Business, Accounting, or related field, or equivalent education and related training or experience
2. Six or more years of financial institution, auditing, public accounting or other relevant experience in a reporting function
3. Broad understanding of banking industry and related authoritative guidance, specifically the Institute of Internal Auditors' (IIA) Standards and SR 13-1
4. Knowledge and demonstrated ability to design and implement process enhancements addressing regulatory and supervisory reporting requirements
5. Ability to influence without authority across all levels of the Audit Services organization as well as the broader enterprise and with external stakeholders
6. Strong business writing and communication skills
7. Ability to interact directly with senior business leaders, Audit Services Senior Leadership Team, audit directors and audit professionals
8. Strong proficiency in Microsoft Office products, specifically PowerPoint and Excel
9. Good understanding of risk management and process concepts
10. Good project management and consulting skills; effectively balance multiple priorities and meet deadlines
11. Good analytical, critical thinking, organizational, interpersonal, facilitation and negotiating skills
**Preferred Qualifications:**
1. Professional certification as a Certified Public Accountant, Certified Internal Auditor, or Certified Information Systems Auditor preferred.
2. Knowledge of Archer eGRC application.
**General Description of Available Benefits for Eligible Employees of Truist Financial Corporation:** All regular teammates (not temporary or contingent workers) working 20 hours or more per week are eligible for benefits, though eligibility for specific benefits may be determined by the division of Truist offering the position. Truist offers medical, dental, vision, life insurance, disability, accidental death and dismemberment, tax-preferred savings accounts, and a 401k plan to teammates. Teammates also receive no less than 10 days of vacation (prorated based on date of hire and by full-time or part-time status) during their first year of employment, along with 10 sick days (also prorated), and paid holidays. For more details on Truist's generous benefit plans, please visit our Benefits site ( Depending on the position and division, this job may also be eligible for Truist's defined benefit pension plan, restricted stock units, and/or a deferred compensation plan. As you advance through the hiring process, you will also learn more about the specific benefits available for any non-temporary position for which you apply, based on full-time or part-time status, position, and division of work.
**_Truist is an Equal Opportunity Employer that does not discriminate on the basis of race, gender, color, religion, citizenship or national origin, age, sexual orientation, gender identity, disability, veteran status, or other classification protected by law. Truist is a Drug Free Workplace._**
EEO is the Law ( Transparency Nondiscrimination Provision ( (
View Now
Be The First To Know
About the latest Audit professional Jobs in United States !
6
Compliance Risk Assessment
07308 Jersey City, New Jersey
SMBC
Posted 16 days ago
Job Viewed
Job Description
SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has more than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges.
In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
The anticipated salary range for this role is between $163,000.00 and $250,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.
**Role Description**
The results of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified.
This role will include conducting compliance risk assessments of certain U.S. legal entities in the role of subject matter expert ("SME") as well as managing other SMEs outside of the CRA team in their conduct of compliance risk assessments for the legal entities they cover (primarily non-U.S. entities). The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd line of defense ("2LOD") subject matter experts to assess relevant compliance risks and controls.
The scope of this function will encompass SMBC Group's Americas Division, inclusive of U.S. broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; U.S. and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking and trading subsidiary; and Mexican non-bank leasing affiliate.
The candidate should have a track record of successfully managing projects as well as a strong risk management / internal control mindset to assess compliance risks and controls. Additionally, strong knowledge of either U.S. securities/commodities laws and regulations (SEC, CFTC, FINRA) or U.S. banking regulations (e.g., Federal Reserve) and relevant products and services is essential.
**Role Objectives**
+ Manage comprehensive range of program management matters and supports prioritization, scope of work and deliverables related to the CRA program.
+ Assist Head of Risk and Control Assessment and CRA Program Lead in managing the CRA process, including ensuring required tasks are completed in a timely manner and that CRA team retains all required documentation.
+ Assist with the continuous enhancements to the design and methodology of the CRA framework for SMBC Americas Division.
+ Track status of initiative, projects, and milestones and circulate information in weekly and monthly status reports, as needed, including escalating to management and relevant stakeholders on potential issues.
+ Oversee execution of the book of work, budgets and change program with accountable stakeholders and technology partners, including handling day-to-day matters to ensure responsibilities are clear and milestones are being met according to plans.
+ Develop, document, and maintain tracking and reporting tools (through SharePoint, Excel, etc.) to facilitate effective and efficient management status reporting for development and maintenance of GRC and CRA related programs.
+ Work with CRA team to execute compliance risk assessments of various U.S. entities according to candidate's skills set (e.g., broker dealer or lending).
+ Learn how to utilize newly implemented CRA technology solution and provide training to subject matter experts outside the CRA team who are required to use the tool.
+ Assist in the presentation of CRA results to senior 1LOD and 2LOD management, including an overview of the level of compliance risk and the strength of relevant controls.
+ Help develop risk dashboards designed to identify the regulatory compliance risk profile on an ongoing basis.
+ Support the integration of the CRA results with the activities of the Compliance Department, including with respect to documenting key controls as well as driving monitoring and testing plans.
**Qualifications and Skills**
+ Bachelor's Degree required; JD or MBA is a strong plus (but not required).
+ Minimum of 15 years of prior regulatory, compliance, project management and/or risk management experience.
+ Experience managing projects, creating project plans, tracking statuses, and reporting issues to management.
+ Functional knowledge of either U.S. banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA, NFA) and related products and services.
+ Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses or conducting Compliance Risk Assessments is a strong plus.
+ Strong interpersonal and communications skills (written and verbal) to successfully interface with all levels of management and maintain solid working relationships in a collaborative group environment.
+ Demonstrated track record of successfully managing projects and utilizing project management documentation and reporting tools (SharePoint, PowerPoint, Excel, etc.)
+ Ability to manage multiple projects simultaneously and re-prioritize workloads as necessary.
+ Strong analytical skills to understand project goals and interpret them into meaningful action.
+ Ability to analyze results and identify trends / forecasting using resultant data and other available metrics (e.g., KPI, KRIs, etc.) while promoting measures to mitigate regulatory compliance risk.
SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at
In the Americas, SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of SMBC Group and the value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance, Inc., Banco Sumitomo Mitsui Brasileiro S.A., and Sumitomo Mitsui Finance and Leasing Co., Ltd.
The anticipated salary range for this role is between $163,000.00 and $250,000.00. The specific salary offered to an applicant will be based on their individual qualifications, experiences, and an analysis of the current compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits to its employees.
**Role Description**
The results of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified.
This role will include conducting compliance risk assessments of certain U.S. legal entities in the role of subject matter expert ("SME") as well as managing other SMEs outside of the CRA team in their conduct of compliance risk assessments for the legal entities they cover (primarily non-U.S. entities). The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd line of defense ("2LOD") subject matter experts to assess relevant compliance risks and controls.
The scope of this function will encompass SMBC Group's Americas Division, inclusive of U.S. broker dealer and registered swap dealer; SMBC Group's wholesale and retail banking operations; U.S. and LATAM representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking and trading subsidiary; and Mexican non-bank leasing affiliate.
The candidate should have a track record of successfully managing projects as well as a strong risk management / internal control mindset to assess compliance risks and controls. Additionally, strong knowledge of either U.S. securities/commodities laws and regulations (SEC, CFTC, FINRA) or U.S. banking regulations (e.g., Federal Reserve) and relevant products and services is essential.
**Role Objectives**
+ Manage comprehensive range of program management matters and supports prioritization, scope of work and deliverables related to the CRA program.
+ Assist Head of Risk and Control Assessment and CRA Program Lead in managing the CRA process, including ensuring required tasks are completed in a timely manner and that CRA team retains all required documentation.
+ Assist with the continuous enhancements to the design and methodology of the CRA framework for SMBC Americas Division.
+ Track status of initiative, projects, and milestones and circulate information in weekly and monthly status reports, as needed, including escalating to management and relevant stakeholders on potential issues.
+ Oversee execution of the book of work, budgets and change program with accountable stakeholders and technology partners, including handling day-to-day matters to ensure responsibilities are clear and milestones are being met according to plans.
+ Develop, document, and maintain tracking and reporting tools (through SharePoint, Excel, etc.) to facilitate effective and efficient management status reporting for development and maintenance of GRC and CRA related programs.
+ Work with CRA team to execute compliance risk assessments of various U.S. entities according to candidate's skills set (e.g., broker dealer or lending).
+ Learn how to utilize newly implemented CRA technology solution and provide training to subject matter experts outside the CRA team who are required to use the tool.
+ Assist in the presentation of CRA results to senior 1LOD and 2LOD management, including an overview of the level of compliance risk and the strength of relevant controls.
+ Help develop risk dashboards designed to identify the regulatory compliance risk profile on an ongoing basis.
+ Support the integration of the CRA results with the activities of the Compliance Department, including with respect to documenting key controls as well as driving monitoring and testing plans.
**Qualifications and Skills**
+ Bachelor's Degree required; JD or MBA is a strong plus (but not required).
+ Minimum of 15 years of prior regulatory, compliance, project management and/or risk management experience.
+ Experience managing projects, creating project plans, tracking statuses, and reporting issues to management.
+ Functional knowledge of either U.S. banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA, NFA) and related products and services.
+ Experience working in a Compliance Advisory role covering either banking products/services or trading/capital markets businesses or conducting Compliance Risk Assessments is a strong plus.
+ Strong interpersonal and communications skills (written and verbal) to successfully interface with all levels of management and maintain solid working relationships in a collaborative group environment.
+ Demonstrated track record of successfully managing projects and utilizing project management documentation and reporting tools (SharePoint, PowerPoint, Excel, etc.)
+ Ability to manage multiple projects simultaneously and re-prioritize workloads as necessary.
+ Strong analytical skills to understand project goals and interpret them into meaningful action.
+ Ability to analyze results and identify trends / forecasting using resultant data and other available metrics (e.g., KPI, KRIs, etc.) while promoting measures to mitigate regulatory compliance risk.
SMBC's employees participate in a Hybrid workforce model that provides employees with an opportunity to work from home, as well as, from an SMBC office. SMBC requires that employees live within a reasonable commuting distance of their office location. Prospective candidates will learn more about their specific hybrid work schedule during their interview process. Hybrid work may not be permitted for certain roles, including, for example, certain FINRA-registered roles for which in-office attendance for the entire workweek is required.
SMBC provides reasonable accommodations during candidacy for applicants with disabilities consistent with applicable federal, state, and local law. If you need a reasonable accommodation during the application process, please let us know at
View Now
7
Operational Risk Assessment
Offutt A F B, Nebraska
Client Server Software Solutions
Posted today
Job Viewed
Job Description
Job Description
Job Description
Provide Advisory and Assistance Support (A&AS) to support the NC3 Enterprise Center with the day-to-day responsibility for overseeing and managing NC3 operations, maintaining enterprise-wide visibility, assessing comprehensive operational and technical risk, and, with the active NC3 Enterprise Stakeholder participation, developing, presenting, and advocating future capabilities, risk management options, and prioritization recommendations to the Chairman Joint Chief of Staff (CJCS) and Deputy Secretary of Defense (DepSecDef) on behalf of all NC3 Stakeholders. The focus of this task order is for the contractor to provide subject matter expertise in conducting systems analysis, systems engineering, technical analysis, solution integration, operations assessment, operations analysis, risk management, requirements identification, requirements advocacy, intelligence assessments, technology identification, identifying future concepts and architectures, and other assigned tasks supporting CDRUSSTRATCOM's ability to plan and execute Strategic Deterrence and NC3 operations to accomplish the mission as outlined in the National Defense Strategy
POSITION REQUIREMENTS
At least 5 years of experience in the following:
Operation capabilities and procedures, and experience in the operations platforms, communications, and modes of operations. Desire: NC2/NC3 background to include an understanding of Chairman, Joint Chiefs of Staff Instructions, Manuals, and nuclear Emergency Action Procedures.
At least 3 years of experience in the following:
Familiarity with the Joint Risk Analysis process and how it applies to NC3enterprise; applying NC3 expertise, providing support for timely NC3 risk capability assessments and advice on mitigation options; experience employing cross-cutting methodology to measure risk for integrated systems; proficiency in building risk metrics and maintaining a framework for assessments.
We are an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender, gender identity, national origin, disability status, protected veteran status or any other characteristic protected by law. Constellation West will not discharge or, in any other manner, discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)
ABOUT THE ORGANIZATION
Constellation West is an award-winning company that delivers Information Technology (IT) engineering services and solutions along with non-IT subject matter expertise worldwide. Established in 1997, Constellation West is an industry leader, partnering with key organizations. As a prime contractor or preferred subcontractor, we have a continual list of opportunities to fill across the nation with multiple agencies such as the Department of Veteran Affairs, the Department of Defense, civilian agencies, and the national intelligence community. Many of the positions supporting U.S. federal government require our employees be granted security clearances.
Constellation West provides fully integrated solutions spanning all aspects of system/network engineering, system/network administration, data management, information assurance, quality assurance, full lifecycle support, software development, and geospatial information services. Constellation West looks for the right people ready to step up and be part of a dynamic team.
If you are looking for a new challenge and a rewarding opportunity to apply your expertise, knowledge, and problem solving skills, come join our team! Constellation West offers competitive salary and benefits including:
• Tuition reimbursement
• Competitive 401(k) plan
• Competitive Health Benefits
• 10 Paid Holidays!
• 15 PTO Days!
• Veteran Hiring Preference
Constellation West is proud to be an EEO/AA employer M/F/D/V
View Now
8
Senior Internal Auditor - Audit Excellence & Professional Practices
50381 Des Moines, Iowa
Principal Financial Group
Posted 2 days ago
Job Viewed
Job Description
**What You'll Do**
We're looking for a Senior Internal Auditor to join our Professional Practices team. In this role, you'll play a pivotal part in enhancing our internal audit methodologies and tools. You'll lead training initiatives, ensuring our audit team is equipped with the latest industry knowledge and skills. You'll engage audit teams to provide and receive feedback, assist in the development and refinement of audit methodologies and tools, and maintain and further develop the quality assurance and improvement program. If you enjoy ensuring the internal audit department maintains high standards, fosters continuous improvement, and functions effectively to support the organization's objective - this role is for you!
You'll Also Have the Opportunity To:
+ Perform quality checks on audit work to maintain and enhance the quality assurance and improvement program.
+ Promote adherence to internal audit standards and methodologies to ensure all audit activities meet established quality benchmarks.
+ Collaborate with the audit team and leadership to engage in feedback processes and support the broader professional practice initiatives to enhance organizational effectiveness.
+ Assist in the development and refinement of audit methodologies and tools.
+ Train the audit team on the necessary skills and knowledge to perform high-quality audits through development of training materials, conducting training sessions, and supporting continuous learning.
+ Support the integration and functionality of audit tools within the audit function.
+ Participate in audit engagements to maintain practical auditing skills and stay connected with the day-to-day challenges and developments in the audit function.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
**Who You Are**
+ Bachelor's degree in finance, accounting, or business-related field, or equivalent work experience required.
+ 5+ years of related experience - auditing experience or business process knowledge preferred.
+ CIA certification required (if not held, expectation to achieve within the first year).
+ Ability to demonstrate a comprehensive understanding in how they enable Principal's global business in an ever-changing operational, technical, and regulatory environment.
+ Ability to be a continuous learner, where you can develop understanding in other critical subject areas subject to audit reviews.
+ Informal leadership skills with the ability to influence and challenge internal team members and external audit customers.
+ Excellent verbal, written, and interpersonal communication skills to reflect relevant facts from audit execution with domestic and globally oriented teams.
+ Preferred: Spanish-speaking skills to assist with the Latin American Internal Audit Teams and delivery of QAIP.
**Salary Range Information**
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
**Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)**
$86450 - $ / year
**Time Off Program**
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is no set number of days provided.
**Pension Eligible**
Yes
**Work Environments**
This role offers an in-office and hybrid (blending at least three days in a typical workweek) work arrangement in Des Moines, IA.
**Work Authorization/Sponsorship**
At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.
Nonimmigrant Workers ( and Green Card for Employment-Based Immigrants ( Code of Ethics**
For Principal Asset Management positions, you'll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.
**Experience Principal**
At Principal, we value connecting on both a personal and professional level. Together, we're imagining a more purpose-led future for financial services - and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site ( to learn more about our purpose, values and benefits.
**Principal is an Equal Opportunity Employer**
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
**Posting Window**
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
**Original Posting Date**
4/8/2025
**Most Recently Posted Date**
4/8/2025
LinkedIn Hashtag
#LI-LT1
We're looking for a Senior Internal Auditor to join our Professional Practices team. In this role, you'll play a pivotal part in enhancing our internal audit methodologies and tools. You'll lead training initiatives, ensuring our audit team is equipped with the latest industry knowledge and skills. You'll engage audit teams to provide and receive feedback, assist in the development and refinement of audit methodologies and tools, and maintain and further develop the quality assurance and improvement program. If you enjoy ensuring the internal audit department maintains high standards, fosters continuous improvement, and functions effectively to support the organization's objective - this role is for you!
You'll Also Have the Opportunity To:
+ Perform quality checks on audit work to maintain and enhance the quality assurance and improvement program.
+ Promote adherence to internal audit standards and methodologies to ensure all audit activities meet established quality benchmarks.
+ Collaborate with the audit team and leadership to engage in feedback processes and support the broader professional practice initiatives to enhance organizational effectiveness.
+ Assist in the development and refinement of audit methodologies and tools.
+ Train the audit team on the necessary skills and knowledge to perform high-quality audits through development of training materials, conducting training sessions, and supporting continuous learning.
+ Support the integration and functionality of audit tools within the audit function.
+ Participate in audit engagements to maintain practical auditing skills and stay connected with the day-to-day challenges and developments in the audit function.
Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We take pride in being a purpose-led firm, motivated by our mission to make financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for more than 140 years!
**Who You Are**
+ Bachelor's degree in finance, accounting, or business-related field, or equivalent work experience required.
+ 5+ years of related experience - auditing experience or business process knowledge preferred.
+ CIA certification required (if not held, expectation to achieve within the first year).
+ Ability to demonstrate a comprehensive understanding in how they enable Principal's global business in an ever-changing operational, technical, and regulatory environment.
+ Ability to be a continuous learner, where you can develop understanding in other critical subject areas subject to audit reviews.
+ Informal leadership skills with the ability to influence and challenge internal team members and external audit customers.
+ Excellent verbal, written, and interpersonal communication skills to reflect relevant facts from audit execution with domestic and globally oriented teams.
+ Preferred: Spanish-speaking skills to assist with the Latin American Internal Audit Teams and delivery of QAIP.
**Salary Range Information**
Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
**Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly)**
$86450 - $ / year
**Time Off Program**
Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is no set number of days provided.
**Pension Eligible**
Yes
**Work Environments**
This role offers an in-office and hybrid (blending at least three days in a typical workweek) work arrangement in Des Moines, IA.
**Work Authorization/Sponsorship**
At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc. For additional information around work authorization needs please use the following links.
Nonimmigrant Workers ( and Green Card for Employment-Based Immigrants ( Code of Ethics**
For Principal Asset Management positions, you'll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.
**Experience Principal**
At Principal, we value connecting on both a personal and professional level. Together, we're imagining a more purpose-led future for financial services - and that starts with you. Our success depends on the unique experiences, backgrounds, and talents of our employees. And we support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted to protect their physical, financial, and social well-being. Check out our careers site ( to learn more about our purpose, values and benefits.
**Principal is an Equal Opportunity Employer**
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.
**Posting Window**
We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.
**Original Posting Date**
4/8/2025
**Most Recently Posted Date**
4/8/2025
LinkedIn Hashtag
#LI-LT1
View Now
9