Compliance Audit Manager

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

Benefits offered by this job

Medical, dental and vision plans

401(k) match

Parental leave

Job summary

Happen Bank is seeking an experienced Compliance Audit Manager to lead moderate-to-high complexity audits in a dynamic, regulated environment. The role emphasizes risk-based planning, collaboration with leaders, and independent judgment to improve controls and governance.

You will mentor team members, apply IIA standards, and advance compliance coverage using data analytics, AI, and emerging tools across hybrid in-person and remote work locations.

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).

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 audit procedures in accordance with IIA standards.
• Provide guidance and mentorship to audit team members throughout audit execution.
• Partner with business leaders to validate findings and agree on practical corrective actions.
• Monitor management’s progress on remediation efforts and validate actions.
• Support department-wide projects to enhance audit methodologies, tools, and assurance capabilities.
• Own and advance the Bank’s compliance coverage strategies and regulatory scope over time.
• Stay current on emerging audit standards and regulatory changes, sharing insights with the team.
• Leverage AI throughout the audit lifecycle to enhance efficiency, consistency, and insights.
• Work cross-functionally to advance real-time, continuous compliance auditing with data analytics, AI, and LLMs.

Skills

Internal Audit

Risk Assessment

Data Analytics

Leadership

Communication

Excel

Audit Tools

Education

Bachelor's degree or higher

CIA/CISA/CPA/CAMS/CRCM preferred

Tools

Optro

Job description

About the Role

Happen Bank Internal Audit provides independent, objective assurance and consulting services that strengthen the company’s operations. As trusted partners, we help the business achieve its goals by taking a systematic and disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes.

As Happen Bank continues to grow and evolve, so does our Internal Audit team. We’re looking for an experienced and adaptable Compliance Audit Manager who thrives in a dynamic environment and embraces change. In this role, the candidate will bring internal audit and financial services experience to deliver audit assurance and to help innovate the function’s methods, tools, and assurance capabilities.

What You’ll Do

• 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 Institute of Internal Auditors (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

About You

• 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
• Excellent organizational skills and the ability to manage multiple priorities effectively
• Advanced written and verbal communication skills, with the ability to clearly articulate insights and influence stakeholders
• Experience with audit management tools (e.g., Optro)
• Working knowledge of key regulations, including consumer protection laws (e.g., ECOA/Reg B, EFTA/Reg E, TILA/Reg Z, EFAA/Reg CC) and BSA/AML/OFAC programs
• Curious, adaptable, and proactive, with a passion for continuous improvement and driving meaningful impact

Work Location
San Francisco or Lehi

The above locations are eligible offices for this role.The locations have been determined to foster in‑person collaboration with this role’s team or the related business lines. We utilize a hybrid work model, and our teams are in‑office Tuesdays, Wednesdays, and Thursdays. In‑person attendance is essential for this role’s success, and remote placement will not be considered.Happen Bank offers relocation, based on actual job level.

Time Zone Requirements
Local hours (PT, MT)

While the position will primarily work local hours, Happen Bank is headquartered in Pacific Time and our ideal candidate will be flexible working across time zones when necessary.

Travel Requirements
As needed travel to Happen Bank offices and/or other locations, as needed.

Compensation
The target base salary range for this position is 101,000-159,000. The base salary of the role will be determined by job-related knowledge, experience, education, skills, and location. Base salary is just one part of Happen Bank’s Total Rewards package. You may also be eligible for long-term awards (equity) and an annual bonus (which is based on company performance, employee performance and eligible earnings).

We’re creating new financial services solutions for our members based on fairness, simplicity, and heart, and we treat our employees the same way. We offer a competitive benefits package that includes medical, dental and vision plans for employees and their families, 401(k) match, health and wellness programs, flexible time off policies for salaried employees, up to 16 weeks paid parental leave and more.

#LI-Hybrid
#LI-GB1

Happen Bank is an equal opportunity employer and dedicated to diversity, equity, and inclusion in the workplace. We do not discriminate on the basis of race, religion, color, national origin, sex (including pregnancy, childbirth, reproductive health decisions, or related medical conditions), gender, gender identity, gender expression, sexual orientation, age, marital status, veteran status, disability status, political views or activity, or other applicable legally protected characteristics. We believe that a variety of perspectives will make our teams and business stronger as we work together to transform the traditional banking system.

We are committed to providing reasonable accommodations for qualified individuals with disabilities in our job application process. If you need assistance or an accommodation due to a disability, please contact us at [e-mail].

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