Audit Manager II (US) Regulatory Management

Internal Audit Regulatory Management

Internal Audit Regulatory Management is the central point of contact for regulatory matters for the US Internal Audit (IA) Division and is responsible for the overall management of regulatory requests as well as ensuring proper response and remediation tracking of any regulatory findings related to the Division. This position is highly visible and requires frequent interaction with Senior Management (internal and external) and stakeholders to ensure regulatory deadlines are met in all cases.

Accountabilities include, but are not limited to, the following:

• Facilitate responses to regulatory requests, prepares related reporting for internal and external stakeholders, and is the primary liaison with these stakeholders.
• Advise and challenge Senior Management on Internal Audit responses.
• Balance the needs of US Internal Audit management teams, stakeholders and regulatory authorities.
• Support audit teams for regulatory matters.
• Contribute to Board of Director reporting
• Participate in relevant initiatives/projects.
• Provide recommendations on any Audit methodology and practice changes needed to ensure proper remediation of regulatory matters.
• Provide support for Internal Audit validation of regulatory findings related to lines of business.

Job Requirements

• Exceptional attention to detail, quality and organizational skills
• Ability and desire to work in a fast-paced environment and display a "sense of urgency" in Regulatory requests
• Given the nature of the role the ability to display flexibility given unpredictability of requests and ability to prioritize highly important items frequently
• Strong communication at all levels
• Problem solving
• Effectively work in teams and develop relationships across the Division and with key stakeholders (including Control Process Group (CPG)/US Regulatory Program Management (RPM) and business partners)
• Indirectly manage and support various team members across the Division and share knowledge
• Identify efficiencies in current processes

Preferred skills:

• Regulatory exam management experience
• Risk and Compliance experience
• Project management experience
• 2nd Line of defense QC testing experience
• Issue management experience is beneficial but is not required.
• Audit related experience is beneficial but is not required.

Education & Experience:

• Bachelor's degree required
• 7 years related experience required, preferably in Risk Management, Regulatory, or Audit in the financial services industry
• Ability to manage routine initiatives with multiple stakeholder interests to successful completion
• Strong time management skills
• Ability to clearly communicate expected outcomes and influence the decisions and actions of others
• Solid interpersonal skills including demonstration of conflict resolution and relationship building skills
• Proven proficiency in Microsoft Office Suite
• Strong verbal and written communications skills and ability to communicate information clearly to employees and management of assigned business lines
• Strong presentation skills
• Travel may be required

Physical Requirements:

• Domestic Travel Occasional
• International Travel Never
• Performing sedentary work Continuous
• Performing multiple tasks Continuous
• Operating standard office equipment - Continuous
• Responding quickly to sounds Occasional
• Sitting Continuous
• Standing Occasional
• Walking Occasional
• Moving safely in confined spaces Occasional
• Lifting/Carrying (under 25 lbs.) Occasional
• Lifting/Carrying (over 25 lbs.) Never
• Squatting Occasional
• Bending Occasional
• Kneeling Never
• Crawling Never
• Climbing Never
• Reaching overhead Never
• Reaching forward Occasional
• Pushing Never
• Pulling Never
• Twisting Never
• Concentrating for long periods of time Continuous
• Applying common sense to deal with problems involving standardized situations Continuous
• Reading, writing and comprehending instructions Continuous
• Adding, subtracting, multiplying and dividing Continuous

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties and skills required. The listed or specified responsibilities & duties are considered essential functions for ADA purposes.