Senior Audit Manager - Compliance - Phoenix

21 Feb 2019
06 Mar 2019
Job role
Contract type
Full time
Purpose of Job We are currently seeking a talented and experienced Senior Audit Manager Compliance for our San Antonio, TX, Plano, TX, Phoenix, AZ, or remote facility.

The Senior Audit Manager plans, directs and independently completes highly complex and often unique risk–based assurance and advisory engagements in the field of business operations, finance, compliance and/or information technology. Manages strategic initiatives. Assists with the development and implementation of a risk–based audit plan. Performs one or more of the following activities: serves as a business and/or information technology SME; analyzes issues and makes decisions; establishes collaborative client relationships; and proactively works with client management to improve internal controls. Adheres to the Institute of Internal Auditors' Standards and Code of Ethics.

This position serves as a lead and is reserved for employees with significant professional experience and a high level of subject matter expertise in their field.

Job Requirements
  • As a subject matter expert, provides recommendations to leadership and guidance to staff members. Promotes the development of effective team relationships and functions in various capacities to ensure the success of team efforts. Approves the scope of the audit.
  • Updates and ensures the universe risk assessment is current with applicable research and industry feedback.
  • Independently prepares, reviews, and leads special reviews, investigations, monitoring activities, and work for external auditors and/or regulators. Ensures assigned engagements are completed objectively, professionally, and in accordance with corporate and industry audit standards.
  • Executes and leads audit fieldwork on assigned internal audit engagements with limited to no supervision in support of execution of the annual audit plan. Manages engagement–related efforts and assignments of staff with varying degrees of expertise and experience when conducting engagements, specialized audits or highly complex business audits recognizing the cross–matricing and cross–functionality within the specialized functions/business areas.
  • Coaches and mentors others on the use of various business systems, applications, and audit tools.
  • Proactively identifies control weaknesses and opportunities for improvement in the current operating environment and provides recommendations for corrective action. Drafts the related audit issues and audit reports for issuance to respective client leadership and conducts follow–up activities as defined in the observations.
  • Provides input into the creation of the internal audit universe and annual plan. Participates in the development of the strategic annual plan ensuring risks are appropriately identified and rated and assists with the implementation of the annual plan.
  • Builds and enhances client relationship across the organization helping to drive strategic objectives with the business. Communicates with the business/clients to include delivering difficult messages. May be asked to communicate with regulators and executive leaders.
  • Influences business and clients across the enterprise in regards to effective internal controls and mitigating risks across the full taxonomy.


  • Bachelor's degree in Accounting, Finance, Information Technology, or other relevant field required or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree AND 8 or more years of relevant audit experience and accountability for complex tasks and/or projects required.
  • Subject matter expert knowledge in Audit theory with demonstrated experience in one or more of the following areas: regulatory, AML, GSD, compliance, risk, models, IT.
  • Subject matter expert level business acumen in business operations, industry practices, and emerging trends.

*Qualifications may warrant placement in a different job level.*

When you apply for this position, you will be required to answer some initial questions. This will take approximately 5 minutes. Once you begin the questions you will not be able to finish them at a later time and you will not be able to change your responses.


  • CRM (Certified Regulatory Compliance Manager) or willingness to obtain certification within the first year of employment
  • 6+ years experience in large retail bank internal audit departments, OR equivalent audit experience
    • Equivalent = minimum 6 years as:
      • Federal Regulator for banks (FDIC, OCC, Federal Reserve) with experience supervising large banks with assets > $80B
      • Top tier firm (Big 4, Protiviti, Treliant etc.) with experience auditing or consulting with large banks with assets > $80B
  • Advanced knowledge of internal controls, consumer compliance (including holistic evaluation of compliance management systems (CMS)), business and information technology risks and/or audit techniques in a large retail bank environment.
  • Advanced knowledge of auditing consumer banking and experience including but not limited to compliance audits related to Deposit and Lending Laws and Regulations; Insiders Activities; and CRA / HMDA is a must
  • Advanced knowledge of the regulatory environment for financial services
  • Experience with audit engagement support tools including electronic workpapers
  • Proficiency in the use of data mining and analytic tools for auditing such as ACL, and SAS
  • Leadership experience for professional auditors, compliance and risk management
  • Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
  • Solid knowledge and understanding of audit methodologies and tools that support audit processes
  • Additional related certifications (CIA,) are also beneficial

The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.

At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.

Relocation assistance is available for this position.

For Internal Candidates:

Must complete 12 months in current position (from date of hire or date of placement), or must have manager s approval prior to posting.

Last day for internal candidates to apply to the opening is 01/27/19 by 11:59 pm CST time.