Associate Audit Director, Compliance Risk Management

Jobtailor; Phoenix (AZ); On-site; USD 120,000 - 160,000; Full time

Job summary

Jobtailor in Phoenix, AZ seeks an experienced Internal Audit Leader to plan, oversee, and report on audits across multiple areas. You will lead audits, perform root cause analysis, and ensure timely wrap-up while maintaining regulatory compliance.

You will collaborate with senior leadership, coach auditors, and integrate data analytics into testing to strengthen internal controls and enterprise risk awareness.

Qualifications

• Bachelor's degree in related field required.
• 8+ years in Internal Audit, Risk Management, or Regulatory Compliance.
• Proven leadership experience in audits and team development.
• Knowledge of COSO, IIA standards, and SOX compliance.

Responsibilities

• Plan, oversee, and report on audits across areas.
• Lead assigned audits and ensure timely wrap-up.
• Inform senior leadership of audit results and risks.
• Coach, train, and motivate the audit team.
• Incorporate data analytics into audit testing.

Skills

Internal Control Analysis

Risk Assessment

Data Analytics

Leadership

Education

Bachelor's degree

Tools

Wdesk

Workiva

Data Analytics Tools

Job description

• Plan, oversee, and report on audits in assigned coverage areas
• Support execution of the department's annual audit plan
• Assist with annual risk assessment and quarterly continuous monitoring
• Lead assigned audits and ensure timely wrap-up and completion
• Evaluate processes and internal controls for adherence to bank policies, procedures, and federal and state banking regulations
• Inform senior leadership of audit results and related risks
• Complete root cause analysis for identified issues
• Attract, hire, and retain Auditor and Senior Auditor professionals
• Oversee day-to-day activities of the audit team with Audit Project Manager assistance
• Coordinate with other audit teams for effective staff utilization
• Coach, train, develop, and motivate the audit team
• Promote enterprise risk awareness through relationships with department heads, business leadership, and staff
• Meet with department heads and business leaders to discuss audits, assess risks, evaluate issue remediation, provide feedback, and gather business insights
• Support annual risk assessment and development of the resulting audit plan
• Prepare risk-based, multi-year audit coverage plans for the assigned area
• Lead execution of the assigned audit plan area, leveraging and delegating to Audit Project Managers
• Ensure key risks and critical plan inputs are considered in audit planning
• Lead internal control evaluations using risk management frameworks
• Oversee all audit phases and wrap-up using Wdesk/Workiva
• Review audit planning, testing approaches, and documentation
• Review higher-risk controls and exceptions for compliance with requirements, IIA standards, and audit methodology
• Resolve audit review notes before wrap-up
• Incorporate data analytics into audit testing
• Finalize root cause analysis for audit issues
• Complete hours analysis and final quality assessments
• Draft and present audit reports for leadership approval
• Work with management to create timely management action plans
• Monitor open audit issues, deadlines, implementations, and closures
• Escalate delays and extensions according to audit methodology
• Assign validation testing based on workload and expertise
• Follow up on exceptions from internal, external, and regulatory examination reports
• Review, approve, and close medium- and low-risk issues
• Provide ad-hoc reports and status updates
• Work with co-source partners when necessary
• Complete annual training requirements and discuss performance goals
• Attend and/or lead team, peer, and one-on-one meetings
• Lead department initiatives focused on audit methodology changes and technology solutions
• Support Audit Project Manager initiatives as a reviewer
• Lead inclusive teams and manage hiring, coaching, performance, training, and development
• Assist with staff training to improve Auditor and Senior Auditor skill assessment results

Requirements

• 8+ years of related experience in Internal Audit, Risk Management, Regulatory Compliance, or similar field
• Bachelor's degree in related field required
• Previous leadership experience preferred
• Intermediate to advanced experience and knowledge in assigned internal audit area
• Intermediate to advanced ability to deal with complex problems involving multiple facets and variables in non-standardized situations
• Ability to define problems, collect data, establish facts and draw valid conclusions
• Intermediate to advanced knowledge of internal control analysis and risk assessment methodologies
• Knowledge of COSO framework
• Knowledge of Institute of Internal Auditor standards
• Knowledge of FRB Supervisory Letter 13-1 standards
• Knowledge of GAAP and/or Sarbanes-Oxley Section 302/404 regulatory requirements
• Intermediate to advanced time management and organizational skills
• Intermediate level knowledge of data analytic tools preferred
• Advanced public speaking and written communication skills
• One of the following certifications required: Certified Internal Auditor, Certified Public Accountant, Certified Regulatory Compliance Manager, Certified Anti-Money Laundering Specialist, Credit Risk Certification (RMA), Certification in Control Self-Assessment (IIA), or Certification in Risk Management Assurance (IIA)
• Occasional travel required

Core Competencies

Demonstrates extensive experience in Internal Audit and Risk Management, with a strong focus on internal control analysis, risk assessment methodologies, and compliance with regulatory standards. Proven leadership capabilities in managing audit teams, executing audit plans, and fostering enterprise risk awareness.

Highest-signal resume keywords

• Internal Audit Experience
• Risk Management Expertise
• Leadership Skills
• Knowledge of COSO Framework
• Certified Internal Auditor

Hard Skills

• Internal Control Analysis
• Risk Assessment Methodologies
• Data Analytics
• Audit Planning
• Root Cause Analysis
• Regulatory Compliance
• GAAP Knowledge
• Sarbanes-Oxley Compliance
• Audit Methodology
• Time Management

Soft Skills

• Public Speaking
• Written Communication
• Coaching
• Team Development
• Organizational Skills

Certifications & Qualifications

• Certified Internal Auditor
• Certified Public Accountant
• Certified Regulatory Compliance Manager
• Certified Anti-Money Laundering Specialist
• Credit Risk Certification
• Certification in Control Self-Assessment
• Certification in Risk Management Assurance

Industry Keywords

• Federal Banking Regulations
• IIA Standards
• FRB Supervisory Letter 13-1
• Audit Project Management
• Enterprise Risk Awareness

Tools & Technologies

• Wdesk
• Workiva
• Data Analytic Tools