Senior Compliance Auditor - Chicago loop!

Buckingham Search - Chicago, IL

Buckingham Search is helping a prestigious financial services firm hire a Senior Auditor to their regulatory compliance team.

Things to get excited about:

  • Downtown location & Headquarters
  • 4 weeks vacation
  • Competitive salary + Bonus
  • Competitive Benefits
  • WFH opportunity as well as flexible schedules (all are currently WFH)
  • Ability to rotate out of audit into great positions across the business
  • Ability to choose the types of audits you want to work on (risk, compliance, front-office, back-office, etc.)
  • CPA reimbursement program
  • Summer hours
  • Great work-life balance and minimal overtime

The challenging and rewarding work involved:

  • Assist in the execution of a comprehensive compliance audit plan that addresses key regulatory requirements and provides a sound third line of defense coverage
  • Execute and document testing procedures for in-scope areas, including test of design, test of effectiveness and substantive testing to ensure results support audit conclusions and adherence to IA Department standards
  • Be a subject matter expert on compliance related matters affecting the business
  • Review testing documentation of staff level employees to ensure the results support the testing conclusions and adhere to Internal Audit department standards
  • Identify control gaps and opportunities for improvement
  • Vet issues with management at all necessary levels of the organization on a timely basis
  • Draft audit reports that accurately, clearly and concisely present the issue identified key stakeholders
  • Develop and cultivate relationships with senior management and other key internal contacts, including Management Committee members and their direct reports
  • Contribute to the positive and team-oriented culture by maintaining cooperative relationships (assisting other project teams when necessary), facilitating the resolution of conflicts, sharing information, and accepting and providing feedback
  • Demonstrate commitment to professional growth by assuming progressively more challenging assignments (in-line with standard audit career progression), proactively seeking relevant education and training opportunities, and expanding professional network
  • Ensure compliance with IIA Standards

The most qualified candidates will have:

  • Bachelor’s Degree in Accounting, Finance or related field is required
  • 2+ years of relevant experience
  • Professional certification such as a Certified Regulatory Compliance Manager (CRCM), Certified Public Accountant (CPA), or other compliance-related certifications desired. CRCM preferred
  • Strong knowledge of U.S. consumer banking regulations (e.g., BSA/AML, Fair Lending, Flood, Reg E, UDAAP, etc.) desired


Posted On: Wednesday, October 14, 2020

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