Bank of America Audit Supervisor- Regulatory Exam Management in Charlotte, North Carolina
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
Minimum of 3 years exp in audit , risk or compliance
Strong project management and time management skills
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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