Senior Auditor (Compliance & Legal) in Charlotte, North Carolina
Posted 08/11/21


  • A national top 25 provider of financial products and services for commercial and consumer clientele
  • Named one of the top three fastest-growing FinTech brands in the U.S. in 2020.
  • Company culture committed to community relations, corporate social responsibility, and innovation
  • Offers a full suite of products including mortgage lending, personal lending, and a variety of deposit and other banking products (savings, money-market, and checking accounts, certificates of deposit (CDs), and individual retirement accounts (IRAs)), self-directed and investment-advisory services, and capital for equity sponsors and middle-market companies.



  • Fast paced, highly collaborative, teamwork-oriented, and inclusive environment
  • Top-notch leadership committed to developing people
  • 100% remote for now, then will sit hybrid on-site three days/week in Charlotte when teams transition back to the office after October 2021
  • Direct Hire opportunity paying $75-85k salary plus bonus with excellent benefits package!



  • Responsible for executing assigned audit activities.
  • Responsible for demonstrating skills in identifying and assessing process risks, flowcharting business processes including the supporting applications, identifying and evaluating the design and operational effectiveness of controls, executing and documenting audit tests.
  • During the audit process, completes work in accordance with audit methodology, any and all applicable standards, defined plans and schedules.
  • Establishes relationships with business leaders while conducting individual audits.
  • Independently executes assigned audit and advisory activities
  • Utilize sound analytical and technical skills to provide consultation to management regarding emerging control practices.
  • Support audit fieldwork including tests of controls and substantive tests of details
  • Analyze business process and internal control documentation and develop written summary of audit findings to review with Audit Management.
  • Perform ad hoc projects as assigned to assist
  • Audit in analyzing our company's risk and control environment.
  • Develop, execute, and document audit tests in accordance with Audit Services policies and procedures.
  • Work within defined plans, budgets and schedules.
  • Identify root causes and provide meaningful recommendations.
  • Train/ mentor staff auditors.



  • Bachelor's degree in relevant field of study.
  • 2+ years of financial services/audit experience
  • Relevant certification preferred (CIA, CPA, CISA)
  • Strong project management and analytical skills.
  • Detail-oriented, deadline driven, self-directed and organized individual.
  • Strong written and verbal communications skills.
  • Proven ability to excel in highly interactive team environment.
  • Able to understand risk and control concepts.
  • Well-developed analytical and problem solving skills.
  • Experience using ACL or other Computer Assisted Audit Techniques (CAATs) strongly preferred.
  • Working knowledge of Microsoft Office applications (Word, Excel, and PowerPoint).
  • Available to travel up to 20% when business travel resumes





  • Employee Type: Direct Hire
  • Location: Charlotte, North Carolina
  • Category: Accounting and Finance
  • Date Posted: 08/11/21
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