First Republic Bank

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Senior Auditor – Compliance

Senior Auditor – Compliance

ID 
2017-5126
Job Locations 
US-CA-San Francisco
Category 
Audit

More information about this job

Overview

First Republic is an ultra-high-touch bank that provides extraordinary client service. We believe that one-on-one interactions build lasting relationships. We move quickly to serve our clients’ needs so that their financial transactions are handled with ease and efficiency. Client trust and security are paramount in our line of business. Ultimately, our goal is unsurpassed client satisfaction which will lead to personal referrals – our number one source of new business.

 

We recognize that our competitive advantage starts with our people and our culture. At First Republic, we work hard and move quickly as a very coordinated team. If you are looking for an opportunity to grow and contribute in a fun, fast-paced environment, First Republic is the place for you. We have exceptional people focused on providing extraordinary service.

 

The Senior Auditor – Compliance will report to the Internal Audit Compliance Manager within the Internal Audit Department Compliance Team.

The Senior Auditor – Compliance is responsible for assisting with planning and conducting Compliance audits as well as providing control consultation on risks and controls throughout the Bank and its subsidiaries. Compliance audit areas include, but are not limited to, BSA/AML, NACHA, Lending and Deposit Compliance, Fair Lending/CRA, Fraud, UDAAP and Volcker Rule Compliance. The individual will:

  • Assist in planning and execution of Compliance Internal Audits, along with other Audit Senior responsibilities as assigned
  • Provide control consultation on risks and controls throughout the Bank and its subsidiaries

The allocation of responsibilities and tasks will vary depending on timing and staffing needs in the Internal Audit Department - Compliance Team.

Responsibilities

Responsibilities

  • Support Compliance Internal Audits in performing the following:
  • Perform planning activities and walkthroughs with management in developing and executing risk-based audit programs
  • Assist with drafting audit reports by identifying and gathering support for potential issues, ensure findings are appropriately documented, and recommend value-added solutions
  • Perform oversight of co-source resources working on Compliance Internal Audits
  • Perform project management tasks including but not limited to: scheduling and leading meetings, resource management, audit workpaper review, assisting in report writing, and timely audit completion
  • Ensure the overall quality, consistency, risk management and adherence to department and professional standards and identify opportunities for audit process improvement
  • Establish and maintain strong relationships with business unit management
  • Remain current and increase knowledge of regulatory requirements that impact the organization, as well as in the areas of internal control, accounting, business, company products and company information
  • Support management initiatives and perform administrative responsibilities as needed; perform duties and responsibilities specific to department functions or as assigned by supervisor
  • Responsibilities include the following: 
  • Adhering to and complying with all applicable federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.)
  • Adhering to Bank policies and procedures
  • Completing required training
  • Identifying and reporting potential suspicious activity to the BSA/AML Officer
  • Knowing and verifying the identity of any customer(s) who enters into a relationship with the Bank is known and verified

Qualifications

Qualifications

  • 4+ years of experience in internal audit, enterprise-wide risk management, business risk, compliance, banking and finance industry is preferred
  • Solid understanding of banking, BSA/AML and mortgage industry regulatory requirements (FDIC, CFPB, etc.)
  • Ability to collaborate with business partners and form relationships across business units
  • Self-starter who excels at learning new processes and business functions
  • Excellent written and verbal communication skills
  • Detail-oriented with excellent organization skills
  • Ability to critically analyze and assess the adequacy of internal controls and opportunities for process improvements and efficiency gains
  • Creative approach to problem solving in a dynamic environment
  • Advanced level of PC skills with Microsoft Office applications
  • Demonstrated integrity within a professional environment
  • BS/BA degree in related field, professional certifications, such as CPA, CIA, CISA, CAMS, CRCM preferred
  • Ability to travel to various locations throughout the United States

Other Requirements:                                                            

  • Vision must be sufficient to read data reports, manuals and computer screens
  • Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person
  • Speech must be coherent to clearly convey or exchange information, including the giving and receiving of assignments and/or directions
  • Position involves sitting most of the time, but may involve walking or standing for brief periods of time
  • Must be able to travel in a limited capacity
  • May be required to lift 25-50lbs

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