The role of Audit Supervisor is responsible for overseeing assigned areas of audit work and executing on the audit strategy for Lines of Business (LOBs). Key responsibilities include driving risk-based auditing by defining scope and test procedures to evaluate the control environment in conformance with audit policies, assessing issues for business impact and recommending severity ratings, drafting audit reports, and managing business partner relationships. Job expectations include fostering an inclusive work environment, and mentoring team members.

This role is hybrid onsite in the following cities: Dallas, TX; Charlotte, NC; Atlanta, GA; Stamford, CT; East Hartford, CT; Providence, RI; Wilmington, DE. In addition, this role is not open to sponsorship.

location: Charlotte, North Carolina
job type: Permanent
salary: $100,000 - 130,000 per year
work hours: 8am to 4pm
education: Bachelors

responsibilities:

• Subject matter expertise of compliance and operational risk frameworks and a solid business understanding of the financial services industry.
• Plan, perform, and lead compliance and operational risk audits at the enterprise level
• Subject matter expertise in risk management frameworks and underlying regulations like Basel, Heightened Standards, SR 08-8, Fed 13-1, Enhanced Prudential Standards.
• Perform audit reviews for risk appetite, risk governance, risk culture, RCSA programs, loss data, second line monitoring and testing programs.
• Design and perform compliance and operational risk audit procedures, including identifying and defining issues, reviewing and analyzing evidence, and documenting processes;
• Leverage available data and analytical tools during the planning, fieldwork, and reporting phases of audit delivery;
• Communicate the results of audit projects to management (written reports/oral presentations);
• Establish and build working relationships with internal and external management;
• Perform risk assessments of business activities, potential risks exposures, and materiality of loss; and
• Demonstrates experience in managing integrated internal audit and assurance delivery.
• Effective influence skills in communicating findings. This individual must be an articulate and effective communicator, both verbally and in writing.
• strong interpersonal skills for interfacing with all levels of internal and external audit and management
• Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and drafting audit reports leveraging automation and innovative methods in a timely and high quality manner
• Assesses impacts to business processes, controls, and strategies to provide recommendations on severity ratings and escalate broad themes or trends accordingly based on existing business knowledge
• Exercises intellectual curiosity and judgment to effectively influence and challenge management to improve the control environment and drive continuous improvements on audit
• Oversees a team of associates and provides day-to-day mentoring and guidance and fosters an inclusive work environment
• Maintains business partner relationships, primarily with line management, to develop business knowledge
• Exercises sound knowledge of product, business, and technical expertise to effectively challenge management to improve the control environment

• Experience level: Experienced
• Minimum 5 years of experience
• Education: Bachelors (required)