Compliance Audit Lead

Who you are

• We’re looking for an experienced and adaptable Compliance Audit Manager who thrives in a dynamic environment and embraces change
• 4+ 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

What the job involves

• 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
• 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
• 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

Benefits

• Untracked vacation for salaried employees, which means take it when you need it, and generous paid time off for hourly team members
• A hybrid work model that balances in-office and work from home
• Leading health and safety protocols related to COVID, including complimentary at-home testing kits from Cue Health for those coming to the office
• Up to 16 weeks paid leave for new parents, plus a fully paid, phased return-to-work policy for qualified leaves
• Mothers Rooms and hospital-grade pumps in every LC office
• Generous and varied mental health benefits
• Wellness program with cash incentives — earn up to $75 per month for being active
• Paid volunteer time and donation matching
• Onsite gym, locker room, bike room, and fitness classes (depending on location)
• Café with our own in-house barista
• Stocked pantries with healthy snacks and drinks
• Technology-forward and collaborative office spaces