Regulatory Compliance Senior - Risk Management Services Group (CPA firm)

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Job #: 17434
Status: Inactive / Filled
Title: Regulatory Compliance Senior - Risk Management Services Group (CPA firm)
Job Location: Boston, MA
Base Compensation: $75,000 — $90,000
Total Compensation: $75,000 — $100,000
Is Employer Willing to Relocate?: Might Consider
Other Relocation Information: small sign on available for relo
Job Categories: Bank Operations; Capital Markets
Industries: Banking; Financial Services


Great Work Life Balance compared to other firms


Regulatory Compliance Senior - Risk Management Services Group (Boutique CPA/Consulting Firm) up to $90K, Boston, MA, 4-6 years of experience in a CPA firm within a banking/regulatory compliance practice


The Compliance Auditor is responsible for monitoring and reporting Bank compliance with all applicable federal and state regulations. Performs all regulatory compliance audits within a defined annual audit plan. Develops and maintains compliance audit programs and defines scope of reviews. Prepares and maintains audit documentation and work-papers. Conducts analysis of audit findings to draw logical conclusions. Writes formal audit reports directed toward those audited, Senior Management, and the Audit Committee. Conducts appropriate follow-up with those audited to resolve audit findings. Essential Duties and Responsibilities - Coordinates and manages the regulatory compliance audit process. - Develops and implements an annual risk based compliance audit plan, including scope determination, audit planning memos and reports. - Plans, schedules and conducts each audit, per schedule, to ensure that all activities conform to established audit procedures. Uses audit programs as guides and initiates additional audit steps where deemed appropriate. - Reviews compliance related policies and procedures for compliance with regulatory requirements and sound practices. - Prepares detailed report of violations to federal and/or state regulations and other compliance audit findings, presenting any irregularities or exceptions to Senior Management and/or the Audit Committee. Makes recommendations for corrective action. - Reviews responses from the auditee for audit reports to determine whether appropriate action has been taken. Monitor implementation of needed corrective action. - Report, at least quarterly, to the Audit Committee of the Board of Directors on current quarterly audit results, any findings, corrective actions and status of prior open issues. - Analyzes the audit programs for effectiveness, recommending changes and improvements as appropriate. - Conducts any special audits as assigned by the Risk Manager. - Discusses with the Risk Manager any changes to scope of audits performed, significant findings noted as the audit progresses and conclusions and recommendations as audits are finalized. - Maintains appropriate records and provides assigned reports. - Perform all duties in compliance with the Bank’s policies regarding Equal Employment Opportunity, Code of Conduct and the appropriate use of email, the Internet and any other technology tools as well as the Bank Secrecy Act (BSA) and Bank Protection Act (BPA) regulations. Skills Required -Thorough knowledge of bank regulatory requirements. -Knowledge of bank procedures. -Excellent PC skills, thorough knowledge of network and mainframe systems. -Excellent verbal and written communications skills. -Multi-task oriented. -Proficient problem solver. -Flexible and adaptable. -Analytical and questioning thought process. -Demonstrate cooperative effort in working with other departments. -Strong organizational skills. Education and/or Experience - Associate Degree and/or related work experience with knowledge of banking federal and state regulations. - Five+ years of risk management or bank compliance experience including a minimum of two years in compliance audit.


Total Years of Experience:

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