Regulatory Compliance Audit Team Lead (Columbus)

Regulatory Compliance Audit Team Lead

The Regulatory Compliance Audit Team Lead is responsible for gathering, reviewing, and analyzing internally and externally generated guidance / documentation to assist Audit Management while ensuring that all key risks and critical policies are identified and considered for business audits. This position will review, trace, and summarize results against samples for proper evidence and present results to department manager and auditors. The Regulatory Compliance Audit Team Lead will ensure comprehensive coverage of audit engagements, from start to finish, inclusive of scoping and follow up activities.

Essential Functions

• Knowledge of BancAudit / Nautilus / CBS / Data Analysis Tool / Audit Management Software
• Timekeeping / updating schedule of whereabouts during audits
• Meet departmental continuing education requirements and proactively seeking relevant education and training opportunities
• Familiar with Northwest documentation / processes / procedures
• Develop scope, audit objectives, and program based on assessed risk of subject matter
• Determine staffing requirements for Audit
• Produce plan for completing field work
• Plan audit approaches under the direction of the audit supervisor
• Oversee / collect of specific samples / data
• Oversee / record detailed information / data from samples
• Ensure document and data integrity
• Check results (findings) against samples for proper evidence
• Oversee / compile working papers as appropriate
• Summarize results / findings
• Analyze results as related to Northwest
• Prepare meeting materials (soft, and final exits)
• Present relevant findings appropriately to department manager and auditors
• Produce various audit reports / management letters
• Perform special reviews at the request of management
• Appraise adequacy of the corrective action taken to improve deficient conditions
• Obtain and analyze evidence, ensure audit conclusions are well-documented
• Identify and communicate issues raised, recommend solutions relevant to business units and risk management
• Research and interpret relevance of specific regulations along with assessing document and data integrity
• Determine required audits for relevant segment / special projects
• Self-learn / maintain extensive knowledge of Northwest's Risk Appetite Policy, Board of Director Reports, Board of Director and Bank-Level Committee packages, SOX internal control narratives and test scripts, Call Reports and supporting schedules, Business Unit Risk Assessments
• Ensure compliance with Northwest's policies and procedures, and Federal / State regulations
• Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
• Work as part of a team
• Work with on-site equipment

Education + Experience

The pay range for this position is generally $95,000 - $115,000 annually. Actual pay is based on various factors including but not limited to the successful candidate's experience, skills, and knowledge. Additional bonus earning opportunities and benefits are also available.

Northwest is an equal opportunity employer. We are committed to creating an inclusive environment for all employees.