Senior Compliance Internal Audit
Hauser Jones & Sas PLLC
Email: [email protected]
Serve as a subject matter expert for financial institution regulatory compliance regulations with an understanding of compliance operations.
- Build new and existing client relationships and participate in networking and business development activities.
- Manage multiple projects simultaneously.
- Oversee the work of others on projects assigned and provide training.
- Work closely with team members to follow-up on client requests and inquiries.
- Assist in the preparation of Statements of Work for client projects and monitor time allocated to projects to ensure projects stay on time and within budget.
- Plan, perform, and execute compliance reviews and audit engagements.
- Identify business process risks and develop testing methodologies to evaluate the adequacy of controls.
- Execute test of controls and audit procedures defined in audit programs.
- Research technical issues that arise during fieldwork.
- Document observations and recommendations regarding violations of laws and regulations, or best practices.
- Draft reports for review, presentation, and discussion with clients.
- Research proficiency driven by the principle of life-long learning.
- Analytical, detail oriented – ability to multi-task without sacrificing people skills.
- Excellent interpersonal, oral, and written communication skills, exhibiting empathy for others with positive conflict resolution skills.
- Good at meeting deadlines and solving problems.
- Ability to travel to client locations, which may include occasional overnight stays (limited with advance notice).
- Ability to manage work-life balance while maintaining accountability and service.
Education and Experience
- Bachelor’s degree with a major in accounting, finance, or related field preferred.
- 5-10 years combination of audit and/or compliance experience within the financial industry.
Certificates, Licenses and Registrations
- Successful candidate must possess and maintain one or more relevant certifications pertaining to audit, risk management and compliance (such as CIA, CCUIA, CRCM, CUCE, or CFE).
- Knowledge of IIA guidelines and audit methodologies and techniques.
- Knowledge of financial institution industry regulations, systems, operations, and internal controls.
Salary & Pay Equity
We are committed to pay equity and a competitive benefits package. The typical annual hiring range for this position based on relevant experience and internal equity is:
$85,000.00 to $125,000.00
Note: The amount shown is based on full time annual salary and would be prorated based on role.
In addition, this position is eligible for an incentive plan, based on performance.
Everything we do recognizes the fact that our employees are our most important asset. That’s why we are committed to a work/life integration that goes above and beyond to ensure that you have quality time at home with your family and/or to pursue outside interests and aspirations. We back this up with generous PTO, the opportunity to work remotely, flexible scheduling, and a management team that understands how to adjust when the unexpected curveballs of life happen.
Our benefits package includes:
- Generous paid time off and paid holidays
- Medical with telemedicine, no-cost diabetes supply program, and expert medical opinion services
- Dental and Vision
- Basic and Optional Life Insurance
- Company Paid Disability Insurance
- 401k (with employer match)
- Health Savings Accounts (HSA) with company provided contributions
- Flexible Spending Accounts (FSA)
- Supplemental Insurance
- Legal Plan
- Mental Health and Well-being: Employee Assistance Program (EAP)
- Mental health and Well-being: Virtual mental health support and resources
- Tuition Reimbursement
- Benefits are subject to generally applicable eligibility, waiting period, contribution, and other requirements and conditions.
If this position requires you, now or in the future, to perform your function or report onsite at a HJ&S location or travel on behalf of HJS, entry procedure and Covid protocols are in place that will require your adherence as a condition of employment. HJS manages these procedures and protocols requiring your use of third-party digital applications, in compliance with federal, state, and local laws.
As a matter of operational management limitations and business administrative process parameters, remote position assignments at HJ&S are geographically restricted to where HJ&S currently operates. As a result, we are unable to proceed with applications from those state residents. Applicants are encouraged to apply for other available opportunities for which they qualify.
HJ&S is an Equal Opportunity Employer. We consider applicants without regard to race, color, religion, age, national origin, ancestry, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, veteran status, disability, genetic information, citizenship status, or membership in any other group protected by federal, state, or local law.
HJS 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 legal duty to furnish information.