Senior Compliance Auditor

Location Dallas
Date Posted May 19, 2020
Job ID 10448
Employment Type Direct Hire

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Job Description:

We are assisting our Dallas, TX client in a search for a Senior Compliance Auditor. The Senior Compliance Auditor is responsible for monitoring compliance with policies and procedures across the business as well as other internal financial audit related functions of the organization.


  • Responsible for assisting with creating and executing compliance audit programs for the company’s polices.
  • Working with key stakeholders to support and enhance compliance efforts.
  • Assisting Finance & Accounting with other audit, accounting and compliance related projects.
  • Making recommendations to both improve and introduce new polices with key stakeholders and to promote accountability for consistent internal and regulatory compliance.
  • Responsible for collaborating with outsourced internal and external auditors using auditing tools provided, such as:
    • Checklists to track compliance
    • Reporting processes
    • Review summaries
    • Developing procedures to support policies and procedures for compliance


  • Bachelor's degree in Accounting, Finance, Auditing or related field. CPA or progress towards a CPA preferred.
  • 3+ years of experience in performing projects for compliance audits leading to improved and timely compliance.
  • Internal and regulatory compliance knowledge with policies and procedures including planning, testing and reporting phases of the audit cycle.
  • Knowledge of banking regulatory audit environment, compliance frameworks, auditing techniques and standards, preferred.
  • Ability to work across departments of the business and establish strong working relationships.
  • Understanding of policy objectives and their importance in the governance structure of the business.

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