Bank of America Audit Supervisor- Regulatory Exam Management in Charlotte, North Carolina

Job Description:

The Audit Regulatory Relations team is responsible for providing oversight and coordination over all regulatory requests for Corporate Audit, relationship management with key regulatory agencies primarily in the US, provides guidance to Audit lines of businesses and Enterprise Control Function teams related to regulatory guidance and interaction, and creates reports to help provide transparency into Corporate Audit’s regulatory activities. The role also requires coordination with regulatory relations teams in Global Compliance and is expected to manage across Audit teams and control functions to deliver complex requests and comprehensive reporting.

Key Responsibilities include:

  • Manages Audit’s relationship with U.S. Primary regulators (OCC, FRB, CFPB) and other significant domestic regulators (SEC, FINRA, FDIC)

  • Assists with non-U.S. regulatory requests

  • Manages exams of Corporate Audit

  • Liaises with regulators, Audit LOB teams, and Compliance Exam Managers to complete requests to exams/inquiries from regulators noted above. Includes initial request items, follow-up requests, and Audit exam meetings.

  • Communicates to senior management insight and regulator focus gleaned from regulatory interactions

  • Liaises with LOB Audit teams to assign regulatory identified issues as needed

  • Trains regulators on Audit's processes and manages access to Audit databases

  • Liaises with Global Regulatory Relations (Compliance) and other internal risk groups on regulatory matters

  • Manages the Corporate Audit regulatory meeting calendar and works with LOB Audit teams on creation of meeting materials

  • Maintains a log of materials regulatory submissions and meetings

  • Compiles regulator identified issues status analysis and reports status to Audit senior management and the OCC/FRB

  • Supports LOB Audit teams on external regulator identified issue process

  • Develops and trains on policies and procedures related to external regulator identified issues

Required Qualifications:

  • Bachelors Degree

  • Minimum of 3 years exp in audit , risk or compliance

  • Strong project management and time management skills

Preferred Qualifications:

  • Masters Degree

  • CPA, CIA or CISA

  • Audit compliance or financial services experience

Posting Date : 06/14/2017

Location : US-NC-Charlotte

Travel : Yes, 10% of the time

Full / Part-time : Full time

Hours Per Week : 0

Shift : 1st shift

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