Kreps-Colgan & Associates
Regulatory Bank Compliance Auditor (CPA Firm)
Location:
Texas (Remote / Hybrid – Travel Required)
Kreps – Colgan & Associates Executive Search have been engaged by our client a dynamic Texas based CPA firm to find a dedicated and knowledgeable
Regulatory Bank Compliance Auditor
to join their Financial Institutions practice. This role is ideal for a professional with a strong focus on providing essential regulatory compliance audit and advisory services to a diverse portfolio of community banks, with a primary emphasis on deposit compliance, lending compliance, and BSA/AML. This position offers geographic flexibility across Texas, though periodic travel to various client sites is required.
Responsibilities
Perform Risk-Based Audits:
Conduct comprehensive regulatory compliance audits for community banks, covering:
Deposit Compliance:
Expertise in EFTA/Regulation E, Truth in Savings/Regulation DD, and Funds Availability/Regulation CC.
Lending Compliance:
Knowledge of TILA, RESPA, ECOA, HMDA, and Fair Lending.
BSA/AML & OFAC:
Evaluate Bank Secrecy Act/Anti-Money Laundering programs and OFAC compliance.
Evaluate Programs & Controls:
Assess bank compliance programs, policies, procedures, and internal controls for adherence to applicable regulatory requirements. Identify compliance risks, control gaps, and process improvement opportunities.
Audit Planning & Execution:
Develop and execute audit programs, perform thorough testing, and document results with clear, well-organized workpapers in accordance with firm methodologies.
Reporting & Communication:
Draft precise audit reports that effectively communicate findings, risk ratings, and practical recommendations. Clearly discuss audit results with bank management, including compliance officers and senior leadership, and manage follow-up questions.
Client Service & Collaboration:
Work effectively within cross-functional teams (audit, internal audit, consulting) and maintain strong client relationships through professional communication and timely delivery of services.
Qualifications – Education & Experience
Bachelor’s degree in Accounting, Finance, Business Administration, or a related field.
Experience in bank compliance, regulatory auditing, internal audit, or public accounting preferred.
Prior experience with community banks is strongly preferred.
Preferred Certifications and Skills
CPA, CIA, CRCM, CAMS, or similar professional certification.
Exceptional communication skills both written and verbal.
Work independently remotely while collaborating with the team.
Thrive managing multiple projects in a deadline‑driven environment.
If you are looking to join a vibrant organization with a positive team oriented culture, collaborative leadership, progressive career growth opportunity, passionate about community banks email your confidential resume to kim@kcexecs.com. Candidates aligned to the successful profile and requirements will be contacted ASAP.
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Texas (Remote / Hybrid – Travel Required)
Kreps – Colgan & Associates Executive Search have been engaged by our client a dynamic Texas based CPA firm to find a dedicated and knowledgeable
Regulatory Bank Compliance Auditor
to join their Financial Institutions practice. This role is ideal for a professional with a strong focus on providing essential regulatory compliance audit and advisory services to a diverse portfolio of community banks, with a primary emphasis on deposit compliance, lending compliance, and BSA/AML. This position offers geographic flexibility across Texas, though periodic travel to various client sites is required.
Responsibilities
Perform Risk-Based Audits:
Conduct comprehensive regulatory compliance audits for community banks, covering:
Deposit Compliance:
Expertise in EFTA/Regulation E, Truth in Savings/Regulation DD, and Funds Availability/Regulation CC.
Lending Compliance:
Knowledge of TILA, RESPA, ECOA, HMDA, and Fair Lending.
BSA/AML & OFAC:
Evaluate Bank Secrecy Act/Anti-Money Laundering programs and OFAC compliance.
Evaluate Programs & Controls:
Assess bank compliance programs, policies, procedures, and internal controls for adherence to applicable regulatory requirements. Identify compliance risks, control gaps, and process improvement opportunities.
Audit Planning & Execution:
Develop and execute audit programs, perform thorough testing, and document results with clear, well-organized workpapers in accordance with firm methodologies.
Reporting & Communication:
Draft precise audit reports that effectively communicate findings, risk ratings, and practical recommendations. Clearly discuss audit results with bank management, including compliance officers and senior leadership, and manage follow-up questions.
Client Service & Collaboration:
Work effectively within cross-functional teams (audit, internal audit, consulting) and maintain strong client relationships through professional communication and timely delivery of services.
Qualifications – Education & Experience
Bachelor’s degree in Accounting, Finance, Business Administration, or a related field.
Experience in bank compliance, regulatory auditing, internal audit, or public accounting preferred.
Prior experience with community banks is strongly preferred.
Preferred Certifications and Skills
CPA, CIA, CRCM, CAMS, or similar professional certification.
Exceptional communication skills both written and verbal.
Work independently remotely while collaborating with the team.
Thrive managing multiple projects in a deadline‑driven environment.
If you are looking to join a vibrant organization with a positive team oriented culture, collaborative leadership, progressive career growth opportunity, passionate about community banks email your confidential resume to kim@kcexecs.com. Candidates aligned to the successful profile and requirements will be contacted ASAP.
#J-18808-Ljbffr