Risk & Compliance Manager - Audit And Exam Administrator

Celtic Bank is seeking a knowledgeable and proactive Audit and Exam Supervision Administrator to be responsible for leading and coordinating all Strategic Lending Partnership (“SLP”) audit activities and management of Celtic Bank regulatory exams, including coordinating and responding to requests for information, program presentations, exam preparedness activities, consulting on supervisory matters and coordinating stakeholder engagement.
The scope of work includes driving the external audit plan, scoping of external audits, coordinating document and information requests with SLPs for external audits and exams, and coordinating requests by bank regulators (e.G., UDFI, FDIC). As a Risk &
Compliance Manager you will interact directly with the Celtic Bank EVP - Compliance Officer, EVP – Strategic Lending Partnerships, SLP Operations Manager, Program and Compliance Managers, external audit firms, and SLP staff. In addition, the Audit and Exam Supervision Administrator will act as a consultant for Risk and Compliance matters to both internal bank staff and SLPs.
Interested in hearing more? Apply now! We would love to speak with you.
WHAT MAKES CELTIC DIFFERENT
It’s never wrong to ask great questions
Business causal is every day
Hard work is rewarded
You’re always learning
WHAT YOU’LL DO AT CELTIC BANK
Develop a strategic framework to support all external audit and exam management activities.
Establish related objectives and milestones. Execute and monitor progress.
Support external audit and exam related requests for information by working with other team members to meet target timelines for all deliverables.
Present on progress to plan, as needed.
Point of contact for the management and coordination of information requests, exam support and related meetings.
Prepare Power Point presentations that include key updates regarding active and planned audit and regulatory engagements and summary of activities.
Develop and deliver management reporting.
Provide strategic advice and regular updates to the Compliance and SLP teams regarding the matters being handled, including, but not limited to, the timely escalation and resolution of potential issues.
Communicate extensively (verbal and written) and develop effective relationships with stakeholders.
Requirements
WHAT YOU’LL NEED TO DO IT
The ideal candidate will have 8+ years’ experience in financial services industry, and knowledge of regulatory matters and related exam experience.
Experience in SLPs and Fintech will be an important value add.
Risk management experience, which may include consumer compliance, model risk management, AML/CFT, third-party oversight, and information security.
Strong attention to detail, organizational skills, and a commitment to ensuring that information provided is accurate, complete and to the highest standard.
Excellent interpersonal, leadership, organizational and communication (verbal and written) skills.
Client service skills - must demonstrate the judgment and ability to closely partner with and advise auditors, SLP and Compliance managers and other stakeholders on audit and regulatory interactions.
Ability to learn new areas and products while supporting review of them.
Strong analytical skills, solid judgment, and the ability to evaluate complex business issues.
Ability to manage multiple workstreams involving different partners and groups.
Ability to thrive in a fast-paced, deadline-driven environment, including by demonstrating excellent time management and planning skills.
A relationship builder with the ability to establish, develop and maintain effective working relationships with regulators and with business and functional partners at the firm.
Strong technical skills - including PowerPoint, Word, Excel, SharePoint/OneDrive, (url removed).
Benefits
Medical, dental, vision
401(k) with employer match
Life and long-term disability coverage
HSA and FSA plans
Holidays and paid time off requests
Robust wellness program (we’re talking catered meals three times a weeks, lunch and learns, and onsite gym.)
Headquartered in the heart of downtown Salt Lake City, Utah, Celtic Bank was named a top SBA lender in the nation in 2023! Celtic Bank is a leading nationwide lender specializing in SBA 7(a), SBA 504, USDA B&
I, express loans, asset-based loans, commercial real estate loans and commercial construction loans.
Celtic Bank is an equal opportunity employer and complies with all applicable federal, state and local fair employment practices laws.
Physical and Other Requirements
This job operates in a professional office environment. This role routinely uses standard office equipment such as computers, phones, photocopiers, filing cabinets and fax machines. The demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
Stationary Work:
The employee is frequently required to stand;
walk;
use hands totype, handle documents, and perform other office related duties. Exerting up to 10 pounds of force occasionally and/or negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects.
Mobility:
The employee in this position needs to occasionally move between work sites and inside the office to access file cabinets, office machinery, etc.
Communicate:
The employee is regularly required to talk or hear and will frequently communicate with others. Must be able to read, write and understand fluent English.
Work Model:
The employee in this position will work either a fully Onsite, Hybrid or Remote work model. All employees, regardless of location, may be required to travel to the Salt Lake City office for mandatory company meetings, events, or related occasions.
Utah-based employees:
Hybrid work schedule available after initial training period in our Salt Lake City, Utah office – department and job requirements will determine eligibility.