Dallas Area Compliance | Jobs
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Consumer Compliance, HMDA Compliance, Associate

Goldman Sachs

Richardson, Texas

March 1, 2021

Click Here to Apply

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You’ll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

As a member of the Bank Compliance Team, your responsibilities will include:
• Management of HMDA data collection and review process across various consumer and commercial business units, including initial data review and ingestion, quality control testing and source document validation, and preparation of Loan Application Register for regulatory filing.
• Correction of errors identified in quality control sampling, management of follow-up and escalations associated with errors identified in testing to identify root causes and validate remediation.
• Provide ongoing guidance and prepare / deliver training to applicable business units and third parties associated with regulatory compliance, including HMDA reporting requirements
• Completion of fair lending comparative file reviews across business lines, including associated with residential mortgage, consumer loans, credit cards, and small business lending
• Provision of ongoing compliance support and guidance to consumer residential mortgage business associated with regulatory requirements, particularly those associated with fair lending and HMDA requirements
• Maintenance and review of programmatic and procedural documents to ensure compliance with existing regulations, alignment with processes
• Creation of ongoing reporting to track and measure HMDA reporting progress and compliance milestones
• Preparation and provision of information associated with regulatory requests, examinations, and internal audits

• Bachelor’s degree with min. 2 years of experience in identifying HMDA reporting eligibility, data collection and data integrity, including associated with updated Reg. C reporting requirements
• Experience with performing data integrity and quality control testing associated with HMDA data and other government reporting obligations
• Experience with mortgage processing and related loan documentation requirements
• Comfort operating in Microsoft Excel, loan management platforms, and with managing large datasets
• Experience with HMDA Wiz, Rata Comply or a comparable HMDA data preparation tool a plus
• Experience navigating mortgage loan origination platform(s), such as Empower / Black Knight a plus
• Familiarity with fair lending regulations and requirements, including experience conducting fair lending-related comparative file review a plus
• Experience in with navigating regulatory requirements associated with residential and consumer lending generally, and in particular with the following: Reg C/HMDA, Reg.. B/ECOA, Fair Housing Act, TRID/RESPA, Fair Credit Reporting Act, Flood Disaster Protection Act, and the Community Reinvestment Act
• Excellent written, verbal, and interpersonal communication skills with the ability to effectively articulate HMDA data reporting issues and trends to management through generation of effective presentations and management reporting
• Strong project management and organizational skills, attention to detail, and time management skills

Compliance Analyst-Policies and Reporting

American First Finance

Dallas, Texas

February 24, 2021

Click Here to Apply

The Compliance Analyst of Policies and Reporting (“Compliance Analyst”) will be responsible for the execution of essential Compliance Management System functions, including the maintenance and updating of compliance policies. Additionally, the Compliance Analyst will be responsible for drafting effective, strategic presentation material leveraging timely information, key metrics, and monitoring results to inform senior management of the status of the Compliance Management System.

 

This key contributor will create, compile, and maintain well-documented and timely work product related to American First Finance Inc. (AFF) compliance functions. The role also requires effective cross-functional collaboration with internal and external stakeholders, and will focus on obtaining timely and accurate reporting data from various departments and team members in accordance with applicable compliance requirements.

 

This Compliance Analyst will be an integral part of completing initiatives that provide positive impact at the enterprise level. An effective, results-focused, and motivated individual with a passion for compliance and a keen attention to detail would be an ideal candidate.

• Develops and executes policy governance processes in support of compliance policy lifecycle management, in accordance with AFF’s documentation development standards and applicable legal and regulatory requirements.
• Prepares PowerPoint presentations for use in compliance-related committees and senior management meetings, including, but not limited to, the Compliance Committee, the Complaints Management Committee, and business reviews.
• Assists with the preparation of meaningful and comprehensive status reports regarding compliance program initiatives, activities, and compliance issues to present to senior management and the board level.
• Performs regulatory compliance-related research and data analysis, as needed, and writes reporting deliverables and policy and procedure documentation in accordance with business goals and applicable legal and regulatory requirements.
• Collaborates with management, subject matter experts, and appropriate lines of business to produce insightful reporting highlighting key risk indicators and key performance indicators.
• Prepares formal and informal reports for senior management highlighting updates, dashboards, and key metrics per requirements in the AFF Compliance Management System Policy.
• Inventories approved compliance-related policies and procedures in an exceptionally organized and audit-friendly manner.
• Proactively facilitates required reviews and approvals per applicable policy and procedure review schedules as a primary point of contact and subject matter expert on statuses and requirements related to policy and procedure reviews and approvals.
• Drafts procedures and checklists, as needed, to document changes in compliance processes.
• Researches, maintains, and provides timely, accurate recommendations regarding controls, policies, procedures, and standards as they relate to applicable compliance requirements.
• Maintains and ensures application of compliance governance standards, including through implementation of standard templates and periodic reporting deployed in a reliable and clearly understandable manner.
• Works with business lines to ensure that their policy and procedure approval requirements are also met, as required, for applicable policy, procedure, and job aid documentation with potential compliance impacts.

• 2+ years of professional work experience in consumer regulatory compliance and/or Bachelor’s Degree required
• Knowledge of applicable consumer compliance regulations and laws (e.g., Fair Credit Reporting Act, the Truth in Lending Act and Regulation Z, and the Servicemembers Civil Relief Act)
• Experience with drafting and updating regulatory policies and leveraging knowledge of the applicable legal and regulatory requirements
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to problem-solve and to investigate and identify root causes
• Exceptional judgment and analytical skills
• Ability to adapt successfully balance multiple projects in a fast-paced environment
• Organized approach to workflows and keen attention to detail
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required. Duties, responsibilities, and activities may change at any time with or without notice.

Compliance Analyst-Complaints Oversight

American First Finance

Dallas, Texas

February 24, 2021

Click Here to Apply

The Compliance Analyst of Complaints Oversight (“Analyst”) will be responsible for ensuring the proper intake, response, and resolution of regulatory complaints in accordance with applicable compliance requirements. The Analyst will also perform in-depth reviews and reporting of complaint data, specifically identifying root causes and complaint trends. A key focus of the role will involve ensuring the company meets the respective SLA on each regulatory complaint received.

 

This function requires a highly organized, self-motivated, resourceful, solutions-oriented individual who can execute well in a fast-paced environment while working multiple complaint investigations and projects concurrently. Superior written communication skills are a must.

 

This key contributor will join a growing team of Compliance professionals and will have the opportunity to build upon existing functions and processes by influencing the direction and implementation of key initiatives, such as providing monitoring and oversight to complaints filed against third-party vendors. Additionally, there are opportunities to give creative input into the design of next-generation trackers, reports, and other methods of presenting and managing complaint data.

 

This Analyst will be an integral part of completing initiatives that provide an impact at the enterprise level. An effective, results-focused, and motivated individual with a passion for compliance and a keen attention to detail would be an ideal candidate.

• Assist the Compliance Manager with the ongoing reporting and management of handling complaints received from regulatory authorities.
• Ensure proper routing of complaints when requiring escalation(s) and coordinate with applicable business areas to ensure timely responses.
• Identify and analyze complaint data to identify systemic root causes and overall complaint trends; actively brainstorm ideas for addressing root causes.
• Share analyses and observations collaboratively with business units and develop action plans as needed.
• Draft written responses to regulatory agencies (e.g., CFPB, state attorneys general).
• Assist with the monthly review and reporting of Bank-partner complaints.
• Maintain complaint logs and escalation trackers with up-to-date information.
• Perform call monitoring functions as part of the third-party agency complaint oversight process.
• Maintain knowledge of the applicable regulatory requirements related to a Compliance Management System’s Complaint Management Oversight Program.
• Assist with gathering complaint-related materials and data to facilitate audit and exam requests.
• Assist the Compliance Manager with hosting cross-departmental complaint workshops to facilitate the brainstorming of actionable ideas for reducing complaints in key categories.
• Draft procedures and checklists, as needed, to document complaint processes.

• 3+ years of professional work experience, preferably in a consumer regulatory compliance role. Previous complaint-handling experience is a plus.
• Knowledge of applicable consumer compliance regulations and laws (e.g., Fair Credit Reporting Act, UDAAP, the Electronic Fund Transfer Act and Regulation E, and the Truth in Lending Act and Regulation Z).
• Exceptional written communication skills, and the ability to translate complex concepts into user-friendly, written content.
• Excellent verbal communication skills, and the ability to present findings and recommendations to an audience of varied regulatory knowledge.
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel.
• Interest in consumer finance, technology, and improving consumer credit products.
• Passionate about putting yourself in the “customer’s shoes.”
• Ability to problem-solve and to investigate and identify root causes.
• Exceptional judgment and analytical skills, especially as it relates to interpreting allegations.
• Ability to adapt and successfully balance multiple requests in a fast-paced environment.
• Organized approach to workflows and a keen attention to detail.
• Ability to collaborate cross-functionally with, and communicate complex regulations to, internal and external partners.

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required. Duties, responsibilities and activities may change at any time with or without notice.

Compliance Testing Officer, Associate/AVP

MUFG

Irving, Texas

February 20, 2021

Click Here to Apply

As a Compliance Testing Specialist, you will be responsible for executing regulatory compliance transactional and control testing for lending activity in the following lines of business: residential lending originations, residential lending servicing, consumer lending (credit card and unsecured), small business, and commercial mortgage. You will work with the team to ensure tests are executed both timely and accurately. Tests are aligned to consumer compliance regulations and will be assigned according to the Annual Test Plan.

• Establish, design, and execute regulatory compliance testing
• Work with the Line of Business as well as the Compliance Manager to ensure all rules applicable to the line of business and the products supported are identified so that testing priorities can be evaluated and established.
E• xecute, organize and prioritize testing in a timely manner ensuring deliverables are achieved while maintaining accuracy.
• Develop and document detailed testing scripts covering testing of controls evaluations and testing of transactions to assess adherence to compliance rules.
• Prepare testing scope, workpapers, and reports capturing final results of testing.
• Work closely with the team to ensure consistency among execution of testing and interpretation of rules.
• Keep up to date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s) and ensure testing scripts reflect such changes.
• Assess adherence to regulatory requirements and laws. Serves as an independent reviewer to conduct transactional and control testing across the Lending Compliance purview areas of Residential Lending (originations and servicing), Consumer Lending, (credit card and unsecured) Business Banking Group, and Commercial Mortgage Operations.
• Prepare and potentially present reports to management regarding status of compliance testing in areas of compliance focus.
• Participate in various ad-hoc projects as assigned.

• 3+ years of experience within financial services industry preferred with emphasis on regulatory requirements.
• Minimum of 2 years of experience executing testing efforts or exposure to audit, quality control or quality management functions and results.
• Experience in mortgage banking, compliance testing, quality control/assurance processes or internal/external audit.
• Strong testing/audit background related to regulatory compliance.
• Comprehensive knowledge of federal and state lending regulations. Preferred experience with TILA, RESPA, HMDA, CRA, ECOA, FCRA, and Flood.
• Ability to understand transactional and control test scripts based on current knowledge of regulations and business practices and able to execute testing as assigned.
• Knowledgeable enough to question and escalate issues, if warranted.
• Strong time management, interpersonal, communication, and leadership skills.
• Strong analytical, research and problem-solving skills.
• Excellent verbal and written communication skills.
• Ability to establish credibility and strong partnership with management and peers.
• Ability to work under tight deadlines and successfully manage multiple tasks at one time.
• Bachelor’s degree with professional certification preferred.
• Ability to work autonomously and initiate and prioritize own work.
• Ability to travel up to 10% of the time.

CRA & Fair Lending Analyst

Happy State Bank

DFW or Amarillo Branch

February 20, 2021

Click Here to Apply

Happy State Bank is looking for a CRA & Fair Lending Analyst responsible for the preparation of CRA and Fair Lending analytics and ongoing monitoring.

• Produces written descriptions of data analysis methodology, data display (e.g. maps, tables, charts), with conclusions and recommendations for both CRA and fair lending activities;
• Conducts Standard Monitoring Procedures for loan level testing;
• Conducts CRA, HMDA, and Fair Lending Testing;
• Engages in problem-solving to obtain, analyze, and display data conclusions for business purposes;
• Maintains and updates the Bank’s CRA Public File, as needed;
• Maintains the Banks CRA documentation related to Community Development Services, Donations, Investments and Loan documentation;
• Reads, understands, analyzes, and reports on various policies, practices, and decisions from a CRA and fair lending perspective;
• Possesses and maintains understanding of CRA, Fair Lending and UDAAP laws and regulations including but not limited to ECOA, FACTA, FCRA, CRA, HMDA, FHA, SCRA, and ADA;
• Monitors and supports of CRA Lending and Investment, Fair Lending, Pricing, Underwriting; and Redlining;
• Assists CRA & Fair Lending Officer in prompt response to CRA and fair lending related inquiries;
• Assists CRA & Fair Lending Officer in preparation of periodic loan activity reporting and submissions, regulatory examinations. external audits, or ad-hoc assignments as required;
• Prepares CRA/Fair Lending Committee materials, including presenting to the Committee on various subjects;
• Assists in the update of fair and responsible lending policies and procedures as warranted;
• Conducts ad-hoc reporting, testing, or projects as assigned; and
• Performs other work related duties, as assigned.

QUALIFICATIONS:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. 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.

• Must have knowledge of CRA and fair and responsible lending laws and regulations;
• Must have strong analytical and problem solving skills;
• Must have excellent time management and follow up skills required;
• Must be able to work effectively with business teams to build strong relationships;
• Helpful to have working knowledge of Encompass LOS, Horizon 360, Loan Origination Systems and CRA/Fair Lending software;
• Must have strong, effective interpersonal and communication skills (written, verbal and listening that accurately and clearly summarizes issues and present solutions in an understandable and logical manner);
• Must be a team player who can manage to time-sensitive deliverables;
• Must have computer proficient skills, specifically MS Office (Word, Excel, Access, PowerPoint, etc.); and
• Must be able to pass background and credit screening process.

 

EXPERIENCE:
• Three (3) to five (5) years’ experience in a financial institution including an emphasis on bank lending operations, consumer, commercial/business, mortgage lending, bank controls, CRA and fair lending regulations required; and
• Bachelor’s Degree in a business related field preferred.

Senior BSA Officer

First National Bank

Southlake, Bridgeport or Wichita Falls

February 1, 2021

 

Contact Information

Kerry Sheppard
ksheppard@fnbtx.com
www.fnbtx.com
940-696-3000

The Senior BSA Officer is responsible for implementing and administering all aspects of the Bank Secrecy Act Compliance Program. This position reports to the Senior Compliance Officer and performs various control reviews and monitoring in the area of Bank Secrecy Act., USA Patriot Act, Anti-Money Laundering, OFAC, and Customer Identification Program compliance in accordance with bank policies using industry standard and regulatory guidance sampling methods to ensure the Bank’s compliance efforts are maintained on a daily basis. Advises the Bank’s Senior Compliance Officer, Senior Management and Bank personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks.

• Performs various quality control reviews and monitoring in the area of Bank Secrecy, USA Patriot Act, Anti-Money Laundering, OFAC, and Customer Identification Program compliance using industry standard and regulatory guidance sampling methods.
• Advises Executive Management, Senior Management and Bank personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks.
• Monitors changes in laws, regulations, and trends. Maintains files and shares information to the appropriate departments.
• Tracks BSA related regulatory and compliance changes and deadlines. Partners with leaders to develop procedures to ensure the bank is in compliance.
• Oversees the management of the Bank’s automated BSA/AML/OFAC monitoring systems and analyzes/reviews alerts for suspicious activity.
• Responsible for managing and administering the Bank’s BSA/AML/OFAC compliance programs. Monitors compliance with BSA related laws, rules and regulations.
• Responsible for assessing risk and maintaining the BSA/AML/OFAC Risk Assessment.
• Responsible for administering/supporting the Bank’s Identity Theft Red Flag Program.
• Reviews reports associated with BSA. Identifies suspicious activity (“Red Flags”) in the review process. Identifies, reviews and monitors high risk accounts.
• Documents investigative case management steps, advanced due diligence and maintains supporting documentation for all investigations.
• Investigates all unusual or suspicious activity identified or referred by the other departments of the Bank and determine whether the filing of Suspicious Activity Report (SAR) is warranted.
• Review and verify CTR filings and prepare SAR filings by writing and providing supporting documentation and analysis.
• Administrator for software used for risk assessment to comply with the USA Patriot Act & CIP Program and Red Flags ID Theft Prevention Program. Monitor Relation Management System screenings and FinCEN (314a) files.
• Advises the Bank’s Senior Management and personnel of emerging compliance issues and consults and guides the Bank in the establishment of controls to mitigate risks.
• Participate in the development and distribution of department reports for management or board presentations.
• Responsible for professionally interacting and engaging with auditors and examiners.
• Assists in the development and implementation of the BSA training program for all staff.
• This position may entail supervisory responsibilities at a future date.
• Performs other job related duties as required.

REQUIRED SKILLS:
In addition to the performance of the Essential Job Functions for this position, the BSA Officer must have the following to be successful in performing their duties to First National Bank, the Senior Compliance Officer and the Audit and Compliance Board:
• Strong aptitude for the application of standard office software platforms to improve productivity
• Ability to write reports, draft, review and edit procedures
• Must be a Self-Starter and able to independently function in the position to ensure completion of all tasks
• Must be detail oriented and able to apply standardization processes to all activities within the department
• Must be proactive in researching and implementation of all related BSA Controls and Procedures
• Must be able to learn specific software platforms necessary for the effective completion of all responsibilities

 

POSITION REQUIREMENTS:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed above 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.

 

EXPERIENCE:
Preferred but not required, Bachelor’s degree (B. A.) from four-year College or University; and 5 years or more BSA; or equivalent combination of education and experience. Verafin experience preferred. CAFP, CFCS and/or CAMS certifications strongly preferred.

Compliance Testing Manager

American First Finance

Dallas, Texas

January 5, 2021

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
https://americanfirstfinance.com
972-474-1174

The Compliance Testing Manager will provide support to further develop and manage the American First Finance Inc. (AFF) Compliance Testing Program to identify risks and implement independent testing to assess and measure compliance with applicable laws and regulations. This position will work closely with internal and external stakeholders to provide expertise on regulatory compliance testing matters and to detect and report upon compliance risks.

 

This key contributor will apply their knowledge of compliance requirements and controls to translate regulatory requirements into compliance testing checklists, tools, and questions able to detect pertinent risks. The Compliance Testing Manager will also create and facilitate well-documented test work papers and reports related to risks, root cause analysis, and potential action plans. The role also necessitates effectively monitoring, testing, and validating policies, procedures, controls, and processes, and facilitating the timely and effective communication and remediation, when necessary, of issues.

• Implement, manage, and report on scheduled testing per the AFF Testing and Monitoring Program.
• Provide in-depth, objective, and accurate compliance analysis and high-quality supporting test reports, workpapers, and documentation.
• Review the design and effectiveness of processes and controls, identify risks, and recommend risk-based improvements, as needed, in conjunction with applicable legal and regulatory requirements.
• Perform testing and monitoring activities to assure compliance with complex policies, procedures, laws, and regulations.
• Manage testing milestones to deliver timely results, and prioritize and track project schedules.
• Maintain knowledge of industry rules, regulations, and best practices to ensure testing adheres to regulatory standards and stakeholder expectations.
• Develop and partner with business intelligence to create compliance testing and evaluate additional areas to be tested.
• Review ongoing monitoring reports to inform the Testing Program’s scope and approach.
• Validate remediation efforts and first line of defense testing results.
• Audit account documentation regarding specialized topics, such as credit disputes and debt validations.
• Collaborate with stakeholders to resolve control weaknesses identified through testing.
• Prepare reports for senior management highlighting the testing scope, approach, results, and actions.
• Track the implementation of action plans to verify that issues identified during testing are remediated.

• 3-5 years of professional work experience in consumer regulatory compliance preferred
• 1 or more years of management experience preferred
• Testing experience in compliance, internal audit, external audit, quality control, and/or risk
• College degree required
• CRCM or similar compliance certification preferred
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners
• Knowledge of consumer compliance laws and regulations (e.g., UDA(A)P, Servicemembers Civil Relief Act, Truth in Lending Act, Reg. Z, Fair Credit Reporting Act and Reg. V), and industry “best practices” for compliance programs in larger banking or consumer lending organizations
• Advanced knowledge of testing techniques and data analysis principles, as well as the ability to correctly interpret results
• Experience with implementing components of the COSO Framework preferred
• Ability to problem-solve, and to investigate and identify root causes
• Exceptional judgment and analytical skills, and keen attention to detail
• Ability to manage and oversee multiple engagements and work streams with various departments
• Experience working in a highly-regulated environment
• Previous experience developing executive reporting and presenting to key internal and external stakeholders is preferred

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this role. Duties, responsibilities, and activities may change at any time with or without notice.

Compliance Testing Analyst

American First Finance

Dallas, Texas

January 5, 2021

 

Contact Information

Pam Justiss
pjustiss@americanfirstfinance.com
https://americanfirstfinance.com
972-474-1174

The Compliance Testing Analyst will be responsible for execution of independent testing and risk identification to ensure compliance with applicable legal and regulatory requirements. This key contributor will create, compile, and retain well-documented test work papers and reports related to risks, root cause analysis, and potential corrective action. The role also necessitates effectively monitoring, testing, and validating policies, procedures, controls, and processes, and facilitating timely and effective communication and remediation of issues.

• Implement scheduled testing per the American First Finance Inc. Testing and Monitoring Program.
• Provide in-depth, objective, and accurate compliance analysis and high-quality supporting test reports, workpapers, and documentation.
• Review processes and controls, identify risks, and recommend risk-based improvements as needed in conjunction with applicable legal and regulatory requirements.
• Perform testing and monitoring activities to assure compliance with complex policies, procedures, laws, and regulations.
• Validate remediation efforts and first line of defense testing results.
• Audit account documentation regarding specialized topics such as credit disputes and debt validations.
• Assess the design and effectiveness of controls implemented to mitigate the applicable consumer compliance risks.
• Collaborate with stakeholders to resolve control weaknesses identified through testing.
• Prepare reports for senior management highlighting the testing scope, approach, results, and actions.
• Track the implementation of action plans to verify that issues identified during testing are remediated.

• 2+ years of professional work experience in consumer regulatory compliance preferred
• Testing experience in compliance, internal audit, external audit, quality control, and/or risk is preferred
• Knowledge of applicable consumer compliance regulations and laws (e.g., Fair Credit Reporting Act, the Truth in Lending Act, and the Servicemembers Civil Relief Act)
• Proficient in Microsoft Office, particularly Word, PowerPoint, and Excel
• Strong verbal and written communication skills
• Interest in technology, consumer finance, and improving consumer credit products
• Ability to problem-solve and to investigate and identify root causes
• Exceptional judgment and analytical skills, and keen attention to detail
• Ability to collaborate cross-functionally with, and communicate complex regulations to, business partners

 

Please note this job description does not include a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this role. Duties, responsibilities, and activities may change at any time with or without notice.

Sr. Internal Auditor

Resource One Credit Union

Dallas, Texas

December 4, 2020

 

Contact Information

Krystal Bowen
Krystal.Bowen@r1cu.org

Purpose of the job:
Resource One Credit Union is experiencing tremendous amount of growth, and is on track to double in size over the next six years. Are you seeking a challenging opportunity in a growing credit union? If so, Resource One Credit Union is looking for you! We are seeking a talented and collaborative Senior Internal Auditor to join our audit team.

The Senior Internal Auditor is responsible for auditing lending, savings, compliance and other thrift related activities.

Prepares reports of all audits in accordance with guidelines approved by management and outside independent audit firm.

Makes recommendations of improving and strengthening internal controls and operating procedures.

Primary Responsibilities:
• Lead audit work as auditor in charge, as requested.
• Provide independent reviews and evaluations of company operations.
• Determines that established policies and procedures are set in the Operating Guide, are being complied with consistently.
• Lead and or perform issue validation audit work to validate that issues have been appropriately addressed in a sustainable manner.
• Communicate timely with executive management across all levels to include the compiling and presentation of relevant findings.
• Reviews periodically computer reports/programs and recommends changes in existing programs or advises the implementation of new programs.
• Participates in the continuous improvement of audit processes, including identification of continuous auditing opportunities.

Required Education & Skills:
• Bachelor’s degree in Accounting, Business, Finance or related field.
• Active certification as a Certified Internal Auditor (CIA) or Certified Anti-Money Laundering Specialist (CAMS) would be a plus but is not required.
• Five to ten years of similar or related experience, including time spent in preparatory positions.
• Strong interpersonal, leadership, and communication (both written and oral) skills.
• Ability to perform basic and intermediate math skills
• Thorough knowledge of internal audit functions of a financial institution, including normal operating procedures, state and federal regulations, rules and laws, including but not limited to; BSA/AML/OFAC compliance, and GAAP
• Ability to work as a leader or participant of cross-functional teams or as an individual contributor.
• Unquestionable business and personal integrity and values congruent with those of the organization.
• Results-driven, outcome-oriented leadership style with a high degree of energy and work ethic that suggests personal drive and dedication.
• Be able to travel within departments and from branch to branch as needed to complete audit programs, research and special projects.

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