Compliance Audit Senior Manager

3 weeks ago
# of Openings


CIBC provides tailored commercial, wealth management, personal, and small business financial solutions in the United States through 46 offices in 18 states, as well as cross-border banking services to clients with North American operations. Learn more at


CIBC is a Toronto-based, global financial institution with a 150 year history, serving 11 million personal and business clients. We invest in our businesses, our clients, our people and our communities to deliver consistent and sustainable earnings to our shareholders. 


CIBC delivers access to career and development opportunities, safe and healthy workplaces, effective training, and positive work-life balance – so that employees are able to perform at their best, contribute to their communities and focus on cultivating deeper relationships with our clients.


Every year, CIBC is recognized for its business success, community commitment and employee initiatives.  We are proud of this success and are committed to creating an inclusive workplace and an environment where all employees can excel.


CIBC Bank USA is an Equal Opportunity Employer M/F/Disability/Veteran


Position Summary: The Compliance Audit Senior Manager is a leadership position within the Internal Audit Department responsible for the development and execution of a risk based compliance audit plan that addresses all relevant regulations, laws, and standards. In addition, this role will also assist with the oversight of certain operational audits. The Compliance Audit Senior Manager works with LOB senior levels of management to facilitate the identification and resolution of key risk and control issues as well as serve a subject matter expect for regulatory requirements. Additionally, the Compliance Audit Senior Manager role will be responsible for leading, directing, evaluating, and developing audit professionals to ensure audit activities are conducted to high standards of accuracy, rigor, and credibility and according to regulations and industry standards. This role also requires ongoing progress reports to business line and audit management.


  • Develop a comprehensive compliance audit plan that addresses key regulatory requirements and provides a sound third line of defense risk based coverage
  • Provide oversight in the execution of the audit plan through the review of detail project plans that effectively incorporate appropriate risks, scope, staffing requirements, deliverables, timelines, budgets and client availability
  • Subject matter expert on compliance related matters affecting the Bank
  • Oversee and manage multiple engagements at one time
  • Participate in certain committees of the Bank to increase understanding and awareness of current issues and new developments
  • Guide department personnel in their careers and provide learning opportunities through coaching and mentoring activities
  • Provide guidance to the team in all phases of an audit as needed
  • Expand the operational audit teams knowledge of key banking regulations and identify areas where compliance and operational audits can be integrated
  • Prepare or review meaningful, relevant, and well-supported audit reports
  • Effectively communicate findings to various levels of management
  • Translate broad business strategies and key initiatives within assigned areas into effective, risk sensitive audit plans
  • Assist the Chief Audit Executive/Head of Internal Audit in executing department strategy and governance
  • Sett the proper tone and culture for the department
  • Contribute to the positive and team-oriented culture by maintaining cooperative relationships (assisting other project teams when necessary), facilitating the resolution of conflicts, sharing information, and accepting and providing feedback
  • Work closely with management to promptly resolve any concerns that may arise and build trust. Serve as a business advisor and partner by providing the business unit and senior management with advice related to business issues and controls
  • Demonstrate commitment to professional growth by assuming progressively more challenging assignments (in-line with standard audit career progression), proactively seeking relevant education and training opportunities, and expanding professional network
  • Represent the Chief Audit Executive/Head of Internal Audit in meetings with Audit Committee/Regulators as needed
  • Ensure compliance with IIA Standards


Required Skills & Experience

  • Bachelor’s Degree in Accounting, Finance or related field is required
  • Professional certification such as a Certified Regulatory Compliance Manager (CRCM), Certified Public Accountant (CPA), or other compliance-related certifications. CRCM preferred
  • Strong knowledge of U.S. consumer banking regulations (e.g., BSA/AML, Fair Lending, Flood, Reg E, UDAAP, etc.)
  • 10+ years of relevant experience (with at least 5 years in regulatory compliance environment)
  • Ability to work independently in areas of difficult or complex nature
  • Project management skills, including the ability to manage shifting priorities
  • Strong analytical, written/verbal communication, interpersonal, and relationship building skills
  • High level of expertise in collaboration and communication with internal and external parties
  • Exemplify a positive attitude, strong work ethic, team work and professionalism


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