Regulatory Compliance Audit Team Lead

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The Regulatory Compliance Audit Team Lead is responsible for gathering, reviewing, and analyzing internally and externally generated guidance/documentation to assist Audit Management while ensuring that all key risks and critical policies are identified and considered for business audits. This position will review, trace, and summarize results against samples for proper evidence and present results to department manager and auditors. The Regulatory Compliance Audit Team Lead will ensure comprehensive coverage of audit engagements, from start to finish, inclusive of scoping and follow up activities.

Essential Functions

• Knowledge of BancAudit/Nautilus/CBS/Data Analysis Tool/Audit Management Software
• Timekeeping/updating schedule of whereabouts during audits
• Meet departmental continuing education requirements and proactively seeking relevant education and training opportunities
• Familiar with Northwest documentation/processes/procedures
• Develop scope, audit objectives, and program based on assessed risk of subject matter
• Determine staffing requirements for Audit
• Produce plan for completing field work
• Plan audit approaches under the direction of the audit supervisor
• Oversee/collect of specific samples/data
• Oversee/record detailed information/data from samples
• Ensure document and data integrity
• Check results (findings) against samples for proper evidence
• Oversee/compile working papers as appropriate
• Summarize results/findings
• Analyze results as related to Northwest
• Prepare meeting materials (soft, and final exits)
• Present relevant findings appropriately to department manager and auditors
• Produce various audit reports/management letters
• Perform special reviews at the request of management
• Appraise adequacy of the corrective action taken to improve deficient conditions
• Obtain and analyze evidence, ensure audit conclusions are well-documented
• Identify and communicate issues raised, recommend solutions relevant to business units and risk management
• Research and interpret relevance of specific regulations along with assessing document and data integrity
• Determine required audits for relevant segment/special projects
• Self-learn/maintain extensive knowledge of Northwest's Risk Appetite Policy, Board of Director Reports, Board of Director and Bank-Level Committee packages, SOX internal control narratives and test scripts, Call Reports and supporting schedules, Business Unit Risk Assessments
• Ensure compliance with Northwest's policies and procedures, and Federal/State regulations
• Navigate Microsoft Office Software, computer applications, and software specific to the department in order to maximize technology tools and gain efficiency
• Work as part of a team
• Work with on-site equipment

QUALIFICATIONS To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Education Bachelor's Degree Business, Accounting, Finance, Pre-Law, or other related field preferred Preferred Work Experience 5 - 6 years Bank auditing/compliance testing experience 3 - 5 years Regulatory compliance experience General Employee Knowledge, Skills, and Abilities

• Ability to establish effective working relationships among team members and participate in solving problems and making decisions
• Ability to present and express ideas and information clearly and concisely in a manner appropriate to the audience, whether oral or written
• Ability to actively listen to what others are saying to achieve understanding, sharing information with others and facilitating the open exchange of ideas and information
• Ability to establish courses of action for self to accomplish specific goals, develop and use tracking systems for monitoring own work progress, and effectively use resources such as time and information
• Ability to make right decisions based on perceptive and analytical processes, practicing good judgment in gray areas

Additional Knowledge, Skills and Abilities Candidate must possess extensive knowledge of and be fluent in the review of, but not limited to regulatory exam reports, compliance reports, third party risk associated with various business units Extensive Broad knowledge of consumer regulations with the ability to interpret regulatory requirements and determine how to effectively assess business processes for compliance with applicable regulations Extensive Preferred Licenses and Certifications CRCM Certified Regulatory Compliance Manager

The pay range for this position is generally $68,000 - $90,000. Actual pay is based on various factors including but not limited to the successful candidate's experience, skills, and knowledge. (Additional bonus earning opportunities and benefits are also available).

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