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Audit & Compliance Manager

Tulsa, OK
Audit & Compliance Manager
Tulsa, OK

You will be responsible for conducting independent audits of the operational practices and control procedures to ensure that the credit union is in compliance with applicable laws, regulations, and internally established policies, guidelines, and procedures. You will participate in various committees, audits, and examinations and will serve as the Bank Secrecy Officer. In your role, you will also consult and guide the credit union in the establishment of controls to mitigate risk.

In this role you will:

  • Serve as the BSA Officer. Responsible for updating policies, procedures, and guidelines for the credit union's compliance programs. Monitor regulatory compliance matters.
  • Review established internal control systems to ensure compliance with policies, procedures, guidelines, laws, and regulations. Reports appropriate audit findings to Supervisory Committee.
  • Assist in reviewing any new control systems or modifications to existing systems, prior to implementation. Review new and ongoing Risk Assessments for products or programs at the credit union.
  • Manage and supervise the activities of the Compliance Risk Analyst and Quality Assurance Analyst.
  • Ensure audits are conducted in a timely manner, as prescribed by the audit plan. Coordinate external audits with contracted vendors as needed.
  • Respond to department inquiries and provide guidance regarding internal control issues.
  • Participate in programs and continuing education to further develop business skills and industry knowledge.
  • As needed, recommend operational auditors to the Vice President, Accounting and/or Supervisory Committee after completing due diligence and bid process.
  • Execute a risk-based internal audit program. Assist management in the assessment of risk and controls.
  • Follow up on audit findings for completeness and, where applicable, implementation.
  • Maintain full and accurate working papers to support audit findings, recommendations, and responses.
  • Ensure that CTRs and SARs are filed accurately and in a timely manner. Review transactions for Anti-Money Laundering.
  • Complete timely special reviews, investigations, and projects assigned by the Vice President, Accounting.
  • Inform management timely of new or revised policies or regulations affecting credit union compliance.
  • Commitment to Credit Unions' needs and maintaining confidentiality at all times.
  • Deliver service to both internal and external members that are in alignment with the credit union’s Service Standards and meet all established service goals.
  • Comply with all security guidelines related to physical and information security.
  • Comply with the requirements of all Credit Union policies, procedures, and guidelines including but not limited to the Bank Secrecy Act, and Anti-Money Laundering regulations as they relate to the position.
  • A bachelor's degree or higher in business, or related field.
  • Willingness to pursue an internal audit certification (CIA, CRMA, etc.) and/or compliance certification (BSACS, CUCE, CUERME, CAMS, etc.).
  • Three or more years of similar or related experience within a financial institution.
  • Thorough knowledge and understanding of applicable federal and state financial regulations as well as compliance standards and practices.
  • Broad understanding of internal controls, risk assessment, and audit practices to identify potential areas of concern.

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