Sr. Compliance Auditor

Omaha - FN Tower

Full time

R-20261661

At FNBO, our employees are the heart of our story—and we’re committed to their success! Please see below the details of this career opportunity and how it fits into our organization’s success.

Summary of the Job:

The Senior Compliance Auditor is responsible for planning and leading audits of assigned business units and affiliates. As the in-charge auditor, the Senior Compliance Auditor is responsible for assessing risks, evaluating controls and designing appropriate audit tests. The Senior Compliance Auditor will maintain working knowledge of federal consumer protection laws and regulations applicable to retail banking, lending, and deposit operations. The Senior Compliance Auditor will assist the manager with the risk assessment process used to aid the department in the development of the annual audit plan. The Senior Compliance Auditor supervises audit staff and interns/cohorts on audits and provides timely coaching feedback and reviews their audit documentation.

About This Role:

Key Accountabilities:

Audit Oversight and Consulting: Maintain a comprehensive knowledge of banking risks, laws, regulations and industry best practices. Effectively provide audit consulting services to FNBO/FNNI -

• Maintain level of expertise through ongoing and continual review of regulatory and industry publications, with particular focus on federal consumer compliance regulations (e.g., Regulation Z, Regulation B, FCRA, UDAAP, BSA/AML, CRA, HMDA/Regulation C, Regulation E, Regulation DD, etc.) and guidance issued by the applicable regulators (CFPB, OCC, etc.), to stay aware of new developments impacting the organization.

• Research and resolve escalated issues from team members and/or internal business partners. Demonstrate ability to solve problems and drive positive change with assistance from the Audit Managing Director.

• Work with stakeholders on audit related and risk management initiatives to ensure the organization is taking appropriate actions to meet the goals and strategic plans of the organization.

Audit Execution: Responsible for delivering audits on time, within budget and meeting the strategic and audit/business requirements.

• Audit Planning – Analyze business functions and risk of assigned internal business partners and assist in setting the audit scope and developing the related Audit Program Guides. Promote and execute an integrated and collaborative audit approach. Obtain input from other teams and identify and accept cross-training opportunities within the department.

• Fieldwork – In addition to performing and documenting assigned audit procedures, delegate tasks to provide meaningful development opportunities for team members, review all work papers for quality and accuracy and ensure completion of audit tests, information gathering, and evaluation of results in support of audit objectives.

• Wrap-up – Report audit results to management. Identify and produce issue summaries that clearly state the business objectives; understand root cause and provide possible resolutions. Provide Audit Managing Director with feedback on audit team members.

Risk Assessment: Aid manager in the continuous risk assessment processes by updating Audit Universe Assessments (AUAs) as appropriate. Provide input based on in depth auditing knowledge to add efficiency. Examples include: automating audit steps using tools such as data analytics, continuous audit opportunities, or integrated audit opportunities.

Team Lead: Coach team members to maintain or exceed established standards of productivity and quality of business partner interactions.

• Promote a productive team environment by building trust and making team members feel valued and respected through active listening and encouragement.

• Research and resolve escalated issues from team members. Utilize escalated issues to provide upfront and ongoing coaching and development

• Identify and correct discrepancies with regard to day-to-day functions and responsibilities to achieve the highest levels of efficiency and performance.

• Provide formal feedback and support in a constructive and sensitive manner to team members utilizing the Performance Evaluation Form.

Department Lead: Responsible for leading projects and initiatives as necessary.

Compliance: Understand and comply with bank policy, laws, regulations and the bank's BSA/AML Program, as applicable to your job duties. Complete compliance training and adhere to internal procedures and controls, as required. Report any known violations of compliance policy, law, or regulations. Report any suspicious customer and/or account activity.

Professionalism / Attendance: Maintain professional behavior, transparency, and openness with internal business partners and department members. Develop partner relationships to assist in identifying potential partnering opportunities and obtaining knowledge of new products/services to identify emerging risks. Know the Company goals and understand your key accountabilities.

Personal Development: Identify personal development goals to build skill sets. Supportive development activities may include involvement in committees, cross-training opportunities, certifications, and other professional growth initiatives.

The Ideal Candidate for This Role:

Knowledge, Skills, and Abilities: In completing this work, a Senior Compliance Auditor should demonstrate the following skills and abilities:

• Above average knowledge of federal consumer compliance regulations

• Above average administrative, oral and written communication skills

• Strong analytical skills

• Solid project management skills

• Working knowledge of data analytics

• Collaboration

• Adaptability

• Initiative

• Learning Orientation

• Accountability

• Problem Solving

• Auditing Principles and Tools

• Relationship Management

• Technical Communication/Presentation

Job Requirements:

• Bachelor’s degree in Business or related degree / experience.

• 3+ years of compliance audit or compliance management experience with a bank or financial institution, specifically involving federal consumer protection and banking regulations. Qualifying experience includes auditing, testing, or managing compliance with regulations such as Regulation B (ECOA), Regulation Z (TILA), Regulation X (RESPA), Regulation C (HMDA), Regulation E (EFTA), Regulation DD (TISA), Fair Credit Reporting Act (FCRA), UDAAP, CRA, etc. Experience limited to securities trading, wealth management, IT compliance, or non-financial institution compliance does not satisfy this requirement.

• 1+ years of managing and leading compliance-related audits or compliance-related testing projects

• Professional Certification: Certified Regulatory Compliance Manager (CRCM) or Certified Internal Auditor (CIA).

Desired:

• Direct experience in auditing or testing consumer compliance functions, including familiarity with examination procedures issued by the CFPB, OCC or federal banking agencies (e.g., OCC examination handbook).

• Additional Professional Certification: Certified Anti-Money Laundering Specialist (CAMS) or Certified AML and Fraud Professional (CAFP)

Candidates must possess unrestricted work authorization and not require future sponsorship.

Compensation:

Compensation range (base pay): $81,662.00-$134,741.00

This role may have a specific starting pay within this range.

Final compensation offer to candidate may vary from posted hiring range based upon work experience, education, and/or skill level.

Work Environment:

It is anticipated that the incumbent in this role will work in a hybrid capacity, balancing in-person collaboration three (3) days a week with remote flexibility two (2) days a week. As part of our team, you'll experience the energy and relationship-building of face-to-face collaboration while still enjoying the flexibility of remote workdays. We provide the tools and technology to ensure seamless transitions between work environments, supporting your productivity wherever you are. Please note that work location is subject to change based on business needs.

Benefits Overview:

We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:

• Medical, Dental, Vision Insurance

• 401k, With Matching Contributions

• Time Off Programs

• Health Savings Account (HSA)/Dependent Care

• Employee Banking

• Growth Opportunities

• Tuition Assistance

• Short-Term/Long-Term Disability Insurance

Learn more about FNBO benefits here: https://www.fnbo.com/careers/benefits/ .

For additional information regarding compensation and benefits, e-mail FNBO at [email protected] . To ensure you receive a response, include the number of this job (listed below) in the subject line of your message.

Job number: R-20261661

Equal Opportunity & Belonging:

FNBO believes that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves—no matter their role or where they are in their journey.

Learn more here. (https://www.fnbo.com/careers/belonging)

FNBO is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.

Click here (https://www.fnbo.com/content/dam/fnbo/documents/hr-documents/eeo-is-the-law.pdf) to download 'EEO is The Law' Self-Print Poster

Click here (https://www.fnbo.com/content/dam/fnbo/documents/hr-documents/eeo-supplement-federal-contractors.pdf) to download 'EEO is The Law' Supplement for Federal Contractors

Click here (https://www.fnbo.com/content/dam/fnbo/documents/hr-documents/eeo-supplement-gina.pdf) to download 'EEO is The Law' GINA Supplement

FNBO is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC

FNBO follows federal law regarding the use of marijuana (this applies to all non-California applicants)

Application Deadline:

All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.

Grow Your Career with FNBO!

For 170 years, our holding company - First National of Nebraska (FNNI) - has grown to more than 4,500 employees with locations in nine states and $35 billion in assets. We are proud to serve our customers and communities with banking offices located in Nebraska, Colorado, Illinois, Iowa, Kansas, Missouri, South Dakota, Texas and Wyoming.

FNBO (First National Bank of Omaha) believes that a bank should be a force for good in the world; to positively influence the lives of our employees, customers and the success of the communities we serve. Whether you're just beginning your career or taking it to the next level, you'll find your fit here.

Bilingual Careers (https://firstnational.wd12.myworkdayjobs.com/en-US/fnbocareers?q=bilingual)

Internships & Trainee Program (https://firstnational.wd12.myworkdayjobs.com/fnbocareers?q=trainee%20program)

FNBO believes that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves—no matter their role or where they are in their journey.

FNBO is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity. We strive to represent the communities in which we serve.

Learn more here. (https://www.fnbo.com/careers/belonging)

FNBO endeavors to make our site accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact HR Solution One via either email or phone using the contact information below.

Online (Primary Response Hours: M-F, 8a-5p Central)

• [email protected]

Phone (Available: M-F, 10a-2p; Central)

• (855) 470-3777

• (402) 602-3777