Compliance auditor Jobs in Santa Clara, CA

AUDITOR II- COMPLIANCE

WHAT IS THE OPPORTUNITY?

As part of the Consumer Compliance audit team, the auditor will assess the design and operating effectiveness of internal controls within various audits assigned, and coverage areas supporting the execution of the department's annual audit plan. The auditor will work within an engagement team and on occasion as an individual contributor on routine audit assignments testing internal controls and compliance with laws, regulations and internal policies.

What you will do

• Assists the Audit Manager in the development of the audit scope and required fieldwork in alignment with Internal Audit Methodologies..
• Holds preliminary discussions and interviews with auditees prior to the beginning of the field work.
• Prepares narratives / flowcharts detailing internal controls of area audited.
• Documents the workflow in the area audited, develops audit programs or procedures, and updates audit programs as necessary.
• Performs program procedures and documents work performed, test results and conclusions using work paper preparation guidelines.
• Holds discussions / interview with auditee to gather information, obtains explanations and supporting data / information and documents audit findings and the conclusions drawn.
• Keeps the Audit Manager abreast of progress, issues and audit matters as they arise.
• Contributes to the drafting of audit observation sheets and audit reports.
• Supports and or participates in audit exit meeting with management.
• Develops a general knowledge of the business processes, regulatory requirements and control environment in which City National Bank operates.
• Keeps abreast of changes in the business, regulatory, and control environment in which City National Bank operates, particularly in areas where audit responsibilities are assigned.
• Completes time sheets and expense reports in a timely manner.
• Complies fully with all Bank Operational and Credit policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
• Completes all required training.

Must-Have

Skills and Knowledge

Compensation

Starting base salary : $71,869 - $114,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and / or commissions.

The preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Benefits and Perks

At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks.

ABOUT CITY NATIONAL

City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with $92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.

For more information about City National, visit cnb.com.

EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION

City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE

If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at (213) 673-9139. These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.