Advisor, Regulatory Compliance (Senior Auditor)

• Define the scope of the review and prepare the review program in conjunction with the monitoring and testing area manager.
• Determine the sample methodology and assist the analyst in selecting the sample.
• Work in partnership with other Regulatory Compliance colleagues to design and manage auditing fieldwork and working papers before, during and after the reporting phase. Escalate potential liabilities or areas of exposure with senior leadership as appropriate.
• Evaluate the business unit’s compliance with the applicable laws and regulations through the execution of the review program.
• Identify actionable issues, their associated risk and root cause. Present the preliminary findings to Management and evaluate the effectiveness of their proposed corrective action plan (CAP).
• Draft the review report and assist the monitoring and testing manager in leading the exit meeting with the impacted units to discuss the results and rating of the review.
• Assist in the validation of corrective action plans (CAPs), including evaluation of implementation documents, requests of extensions, changes in status, etc.
• Collaborate with the monitoring and testing manager in carrying out special projects as required.
• Collaborate with the assigned tasks related to the complaints management function as required, including the review of cases, preparation of reports, discussing observations with the business units, etc.
• Maintain a high-level quality standard in the work papers preparation that enables any reviewer or peer to evaluate and to achieve a conclusion about the work performed.
• Other duties may be assigned.

• Bachelor’s degree in accounting, finance, or related field required.
• Three (3) years of experience in Accounting, External or Internal Audit, or Compliance required. Banking experience preferred.
• The minimum education and experience required can be substituted with the equivalent combination of education, training, and experience that provides the required knowledge, skills, and abilities.
• Knowledge of financial institution policies and procedures preferred.
• Effective and clear communication skills with a broad range of employees across the organization, as well as with external counterparts.
• Excellent written and verbal communication skills in English and Spanish with a demonstrated ability to write communications clearly, concisely, and effectively required.
• Ability to read, analyze and interpret government regulations, trade journals and legal documents required.
• Able to respond to common inquiries from regulatory agencies, and external consultants required.
• Innovation and flexibility for meeting the demands of an ever-changing economic market required.
• Excellent computer skills, including Microsoft Office (Word, Excel, Power Point) required.
• Analytical, proactive problem solving, organized, detail oriented and able to multitask observing the defined quality standards.
• Effective interpersonal skills.
• Excellent time management skills and be accustomed to working with deadlines.

Oriental Bank