Senior Compliance Auditor

The Senior Compliance Auditor provides independent and objective assurance services to establish the design and operating effectiveness of key controls and validation of compliance with Southeast Toyota Finance (SETF) policies and procedures, federal and state regulations, and other client, regulatory, or legal guidelines relevant to our core business. The Senior Compliance Auditor will work closely with operational teams and senior management in the review and testing of compliance controls.

Responsibilities:

• Analyzing potential risks within specific areas of the company to avoid compliance issues.
• Inspecting and validating control enhancements and process changes that have been implemented to mitigate risk.
• Conducting ongoing testing of internal processes as assigned by the Compliance Manager or Chief Compliance Officer to ensure compliance with policies and procedures.
• Maintaining a high level of self-reliance to assure the effectiveness of internal controls, business processes, policies and procedures, and regulatory compliance.
• Documenting test work, exceptions, and observations, and making recommendations to enhance controls and/or identify opportunities for improved efficiencies.
• Obtaining responses to the testing exceptions and ensuring the responses address the identified control/process weakness or deficiency.
• Assisting in preparing reports that summarize the testing and rank by risk the exceptions and recommendations.
• Reporting the results of testing and audits to Legal and Operations Management in a clear and concise manner.
• Performing follow-up testing, as needed, to ensure all agreed to actions have been completed.
• Conducting periodic assessments of key vendors (on-site and virtual as applicable).
• Reviewing records, reports, systems, and any other relevant programs and activities affected by regulations.
• Making recommended changes to procedures or practices that are not in compliance with stated regulations and help implement a plan to address such changes.
• Documenting operational process changes based on policy changes (via workflow, etc.)
• Working with operations and/or IT to implement changes to processes and/or systems, tables, etc.
• Training associates on process changes.
• Reporting the results of testing and audits to Legal and Operations Management in a clear and concise manner.
• Developing risk-based programs to test key processes and controls.
• Leading other auditors and coordinating testing/projects, as assigned, to ensure timely completion.
• Individually preparing reports that summarize the testing and rank by risk the exceptions and recommendations.
• Presenting testing findings and recommendations to all levels of management.

Qualifications:

• Bachelor’s degree or higher preferred.
• Minimum 5-7 years of experience in the field of operations, project management compliance, legal, or audit.
• Professional certifications preferred (CPA, CIA, CISA, etc.)
• Exemplary verbal and written communication, organizational, and interpersonal skills.
• Proven ability to multi-task, prioritize work, and manage projects to successful completion.
• Proficient in Microsoft Word, Excel, and PowerPoint.
• Must be available for overnight travel when required.
• Applies professional judgment and operational knowledge in assessing the current state of the business area under review, comparing that state to what should be, and recommending action to be taken.
• Build and sustain relationships with audit clients across all business units and all levels of management.
• Collaborates successfully with the Legal and Compliance team, assisting others where needed, sharing knowledge, and being a team player.
• Ability to prioritize and work on multiple, concurrent audits, projects, and compliance-related activities, as requested.
• Planning: Sets objectives and goals and easily breaks down work into the process steps. Develops schedules and assignments and can anticipate problems/roadblocks and adjust accordingly.
• Dealing with Ambiguity: Can skillfully cope with change and act without having the total picture. Does not get upset when things are in question and can easily handle risk and uncertainty.
• Negotiating: Can skillfully negotiate in difficult situations with both internal and external groups without damaging relationships. Is direct and forceful, but also diplomatic. Has a good sense of timing and gains the trust of others quickly.
• Comfortable around Higher Management: Can easily communicate with upper management without nervousness and tension. Understands how senior management thinks and can establish the most effective way to present information.

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