• Internal Audit Manager – Professional Practices

    Job Locations
    US-CA-San Francisco
  • Overview

    The Internal Audit Professional Practices Group (PPG) is responsible for developing and maintaining the audit standards and procedures that support the operations and infrastructure of the Internal Audit department.  This includes preparing for and responding to external regulatory examination requests, managing and reporting Internal Audit validation of regulatory findings, tracking and reporting status of Internal Audit findings to executive management, and continuously improving audit methodologies, practices, and tools. 


    The Internal Audit Manager – Professional Practices position reports to the VP of Internal Audit Professional Practices.  This position leverages strong knowledge of auditing practices and experience.  The role is responsible for liaising with Regulatory Affairs (under the Legal group) and Internal Audit teams to prepare, coordinate, and submit responses to examination requests from federal and state regulatory agencies (primarily the FDIC and CDBO, respectively).  This position is also responsible for coordinating the validation of regulatory findings, including supporting the Regulatory Issue Validation Program by working with audit teams to conduct validation of management remediation efforts as applicable to audit scope.


    This role will also work with the entire PPG team to lead department efforts to implement, train, and support the conversion from an existing tool to the Wolters Kluwers TeamMate Audit Management Solution. 


    This role will also support the broader PPG responsibilities, including:  stakeholder reporting, risk assessment and audit plan development and maintenance, execution of the internal and external quality assurance and improvement program, key performance indicators and metrics reporting, maintenance of the professional development program, new hire orientation, liaising with co-sourced resources as needed, and supporting the implementation of strategic goals and initiatives.


    Coordinate Internal Audit responses to federal and state regulatory examination requests, including:

    • Preparing initial responses and audit materials and performing quality assurance on final responses
    • Liaising with Internal Audit Teams to provide timely information responsive to requests
    • Creating and reviewing audit work paper files for regulatory scrutiny and coordinating responses to review questions
    • Proactively anticipating and preparing for exam requests
    • Maintaining schedule of exams and timelines
    • Work closely with Internal Audit Leadership Team and management to ensure that any Internal Audit-owned findings from regulators are remediated and documented.

    Manage relationship to liaise with the Regulatory Affairs team (under the Legal team) as a key business partner in responding to FDIC/other regulatory requests.


    Coordinate validation of Regulatory Findings within the Internal Audit team, including:

    • Providing relevant regulatory findings information to Internal Audit teams for audit planning purposes
    • Soliciting Internal Audit teams’ information on which regulatory findings may be scoped into upcoming audits
    • Providing quarterly validation reporting to Regulatory Affairs on remediation status.

    Manage Monthly Issue Track Reporting to key executives.


    Lead/Assist portions of the implementation of and transition to the Wolters Kluwers TeamMate Audit Management System, including:

    • Strategizing on ideal implementation and deployment of relevant modules over a phased period of time to maximize leverage for an efficient and effective audit solution
    • Working closely with Audit Leadership and Management Team to develop a customized TeamMate package
    • Liaising with Wolters Kluwers, Bank PMO, IT, and other stakeholders to develop and execute a project plan for optimal implementation, including: planning, installation and deployment to development environment, analysis and champion education, coaching, end-user education, transition to production environment, and on-going support and maintenance.


    Provide project management support or lead as needed in other Professional Practice functions such as: 

    • Continuous improvement of Internal Audit methodology, Standards, Procedures, policies, templates, and job aids and adoption of industry best practices
    • Training and development
    • Risk Assessment and audit plan process
    • Quality Assurance and Improvement Program- internal ongoing and periodic, as well as external QA (including assisting with internal self-assessment)
    • Audit Committee and other reporting preparation process
    • KPI and dashboard reporting (e.g., audit plan status, issues)
    • New hire orientation, especially related to the Regulatory response and validation process
    • Liaise with co-sourcing resources
    • IA Offsite coordination
    • Supporting employee engagement, fostering and maintaining strong group spirit and high team morale
    • Support for implementing special projects, strategic goals and initiatives.

    Be recognized as a leader and internal controls expert; develops and maintains collaborative working relationships with the Internal Audit Teams (e.g., Compliance, Finance/Operations, Information Technology, Preferred Banking Offices); Understands the business to better provide value-added services, to help management achieve objectives, and enhance stakeholder satisfaction.


    Work closely with the Internal Audit leadership and management team to provide support for internal development of the team and overall process enhancements.


    Ensure the overall quality, consistency, risk management and adherence to department and professional standards, and identifying opportunities for process improvement.


    Responsibilities include the following: 1) 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.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank




    Skills, Knowledge and Abilities:


    • Bachelor’s degree required, preferably in Business, Finance and Operations, or related fields.
    • Minimum of eight years of relevant experience, preferably in a financial services environment or Big 4 assurance experience, primarily focused in internal audit, enterprise-wide risk management, business risk, or regulatory risk consulting.
    • Able to act decisively in making solid, informed judgement calls in response to critical regulatory environment and day-to-day business.
    • Strong knowledge of the professional practice of internal auditing, including the Institute of Internal Auditors Standards and knowledge of the Committee of Sponsoring Organizations (COSO) control framework; stays current on best practices of Internal Auditing.
    • Demonstrated strong project management skills and organizing ability with successful experience in concurrently managing multiple projects at varying levels of technical difficulty at the same time.
    • Understanding of banking regulations and compliance as related to financial services.
    • Strong teamwork, relationship management, and negotiation skills to for consensus building and collaboration.
    • Strong analytical and critical thinking skills, detail oriented and highly organized
    • Excellent written and verbal communication skills with ability to communicate effectively with all levels.
    • Advanced knowledge with Microsoft Office applications, including Excel, Word, and PowerPoint.
    • Relevant experience with TeamMate or other Audit Management Solution/Tool
    • Relevant professional certification highly preferred, such as CPA, CIA, CISA, CRMA, or CFE).



    Physical 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.


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