1693 – Senior Compliance Auditor


POSITION: Senior Compliance Auditor

SALARY: up to $110k

LOCATION(s): El Monte, California

Our client in the banking industry is seeking a Senior Compliance Auditor to join their team based out of El Monte, California. The incumbent will be under the supervision of the Chief Internal Auditor and associated Internal Audit Managers. Responsibilities include, but are not limited to:

  • Plan the audit by performing surveys of functions and activities in assigned compliance areas to determine the nature of the operations and the existence and adequacy of the internal controls used to achieve established objectives and compliance with regulations.  Prepare a Planning Memo.
  • Design risk-based audit programs that test selected controls to determine whether they function as intended.
  • Review, verify and analyze transactions, documents, records, and reports for accuracy and completeness.
  • Evaluate the adequacy and effectiveness of internal control methods, policies, and procedures, and verify compliance with laws and regulations.
  • Determine whether transactions are recorded promptly and accurately.
  • Determine whether assets are suitability safeguarded.
  • Conduct interviews with responsible Company personnel to supplement assigned audit test.
  • Prepare professional work papers that support objective and informed conclusions and recommendations.
  • Summarize audit findings for the review and approval of the Chief Internal Auditor and/or the Audit Manager.
  • Participate in the presentation of audit findings to management.
  • Drafts reports of audit findings for the review and approval of the Chief Internal Auditor and/or Audit Manager.
  • Perform follow up examinations to determine the existence and adequacy of corrective actions taken by management in response to audit recommendations.
  • Use computer assisted auditing techniques (CAAT), when suitable.
  • When acting as Auditor-in-Charge, perform the following additional duties:
  • Assign segments of the program to assisting auditors.
  • Monitor assisting auditors so they conduct themselves in a highly professional manner.
  • Control assignments so that they are completed within established time budgets.
  • Review work papers prepared by assisting auditors for accuracy and completeness.
  • Assist in the on-the-job training of Auditors I and II.
  • Perform SOX work, as assigned.
  • Perform fraud investigations, as assigned.
  • Provide assistance to external auditors, as assigned.
  • Immediately inform the Chief Internal Audit and Audit Manager of any condition that may adversely impact the audit or indicate a major control weakness requiring urgent attention.
  • Conduct all interactions in a highly professional manner.
  • Maintain technical and professional competence through continuing education.
  • Perform other duties as assigned by the Chief Internal Auditor and/or Audit Manager


  • At least 5+ years experience in audit
  • At least 3+ years experience in financial services
  • CIA, CPA, CFSA, CBA, and/or CRCM certifications a plus
  • Strong communication and interpersonal skills, both written & verbal
  • Strong project management skills
  • Thorough understanding of risk-based auditing and associated techniques
  • Ability to travel locally and on occasional assignments

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