AI-Driven Compliance Audit Lead

Tally; San Francisco (CA); Hybrid; USD 101,000 - 159,000; Full time

Benefits offered by this job

Relocation assistance

Equity

Annual bonus

Medical, dental, vision

Job summary

Happen Bank Internal Audit is seeking an experienced Compliance Audit Manager in a hybrid San Francisco/Lehi role. You will lead mid to high-complexity audits, develop risk-based scopes, and guide teams under IIA standards while partnering with business leaders to implement sustainable corrective actions.

You will apply data analytics, AI, and LLMs to planning, fieldwork, and reporting, ensuring robust regulatory coverage (BSA/AML/OFAC, ECOA, Reg E, etc.) and ongoing improvement of audit

Qualifications

• 6+ years of Internal Audit or related experience, ideally within financial services.
• Bachelor's degree or higher, or equivalent combination of education and experience.
• Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain).
• Demonstrated ability to lead and motivate a collaborative audit team on complex engagements.
• Strong analytical and critical-thinking skills, including proficiency with Excel and data analytics.

Responsibilities

• Lead and perform moderate to high-complexity audit work with limited supervision.
• Identify key risks across end-to-end processes and develop risk-based audit scopes and test plans.
• Execute and document audit procedures in accordance with IIA standards.
• Provide guidance and mentorship to audit team members throughout audit execution, fostering collaboration and professional growth.
• Partner with business leaders to validate findings, identify root causes, and agree on practical, sustainable corrective actions—while maintaining professional independence.
• Monitor management’s progress on remediation efforts and validate completed actions.
• Support department-wide projects and initiatives to enhance Internal Audit methodologies, tools, and assurance capabilities.
• Own and advance the Bank's established Compliance and Financial Crimes Compliance coverage strategies, refining them over time to ensure complete regulatory coverage with risk-proportionate auditing.
• Stay current on emerging audit standards, regulatory changes, and industry trends, and share insights with the broader team.
• As a Compliance Audit Manager, you will leverage artificial intelligence throughout the audit lifecycle, including annual planning, risk assessment, audit planning, fieldwork, and reporting, to enhance efficiency, consistency, and insight generation.
• Work cross-functionally to advance the Bank's compliance monitoring capabilities toward real-time, continuous compliance auditing through the application of data analytics, AI, and LLMs

Skills

Audit leadership

Risk assessment

IIA standards

Excel

Data analytics

Stakeholder engagement

Regulatory knowledge

AI in audits

Education

Bachelor's degree

CIA, CISA, CPA, CAMS, CRCM

Tools

Optro

Job description

Happen Bank Internal Audit is seeking an experienced Compliance Audit Manager in a hybrid San Francisco/Lehi role. You will lead mid to high-complexity audits, develop risk-based scopes, and guide teams under IIA standards while partnering with business leaders to implement sustainable corrective actions.

You will apply data analytics, AI, and LLMs to planning, fieldwork, and reporting, ensuring robust regulatory coverage (BSA/AML/OFAC, ECOA, Reg E, etc.) and ongoing improvement of audit