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- Develops and implements a 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.
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- Reviews responses from the auditee for audit reports to determine whether appropriate action has been taken. Monitor implementation of needed corrective action.
- Analyzes the audit programs for effectiveness, recommending changes and improvements as appropriate.
- Discusses with management 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.
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- Current and/or recent experience in risk management or bank compliance including a minimum of 3 years in the banking industry
- Demonstrated ability to meet challenging client requirements
- Ability and willingness to travel (in the future when it is deemed safe to do so)
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Regulatory Lending Compliance Consultant - Springfield, United States - Wolf & Company PC
Description
Job Description
Job DescriptionWolf is seeking an experienced Compliance Consultant to join our growing and well-established national firm. A successful candidate should possess regulatory compliance expertise in a financial institution, consulting, or regulatory environment.
Wolf's compliance consulting team delivers insightful and comprehensive solutions including creative design and implementation of compliance management systems, specialized skills training, and evaluation of existing systems and processes. Using a customized approach, our consultants scrutinize and evaluate each financial institution's unique situation to provide the most accurate and effective information.
*This position can be located in Massachusetts, New Jersey, New York, or Connecticut
Responsibilities:
Qualifications:
Wolf & Company, P.C. is committed to striving to be an employer of choice that embraces inclusion & diversity. At Wolf, the strength of our team is measured by the uniqueness of each and every one of us. Our culture of inclusion and diversity celebrates our differences and recognizes the ongoing need to build a welcoming, collaborative, and supportive environment where our people can be their authentic selves and thrive. We strive for diversity inclusive of race, ethnicity, gender identity, gender expression, sex, age, color, religion, sexual orientation, physical abilities, education, social classes, veteran status, and so much more.
The salary range for this position is $60,000 - $85,000
Actual compensation within the range will be dependent upon the individual's skills, experience, qualifications and location, and applicable employment laws. In addition to base pay, you may be eligible to participate in our performance-based incentive compensation or sales commission plans. In addition, Wolf offers a wide range of benefits including spot awards, 401(k) savings, flexible work, and a generous total rewards and benefits package.
