Global Data Consultants

Director of Regulatory and Compliance Audits

US-PA-Harrisburg
3 weeks ago
Job ID
2016-1550
Recruiter
Shawn Piper

Overview

Are you looking for a dynamic and innovative career with a full-service technology company? GDC IT Solutions is currently recruiting for a Director of Regulatory and Compliance Audits in the Harrisburg, PA area.

Position Overview

The Director of Regulatory and Compliance Audit oversees the Regulatory and Compliance audit strategy and business plans and scheduling of audits.  Oversee the day to day operations of multiple engagements auditing the Agency’s compliance with laws, regulations, and standards applicable to the Agency

Responsibilities

 

Internal Audits Strategy (85%)

  • Oversee and prepare the Internal Audit’s strategy and audit plan for the Regulatory and Compliance audit area.
  • Develop strategies and standards to ensure the quality and quantity of audit services provided; and establish and monitor achievement of department goals, objectives, and initiatives.
  • Attend audit opening and exiting meetings.
  • Execute dynamic planning through continuous monitoring of areas under responsibility. Supports the identification of emerging risks and respective adjustments to the plan.
  • Provide guidance to the Regulatory and Compliance Audit Manager with respect to the planning and execution of audit activities and reporting of results.
  • Collaborate with the SVP, other Audit Leaders and Management in the development of the annual audit risk assessment.
  • Ensure that appropriate coordination occurs on financial/operations and/or IT audits to ensure risk awareness and appropriate audit coverage.
  • Collaborate with the Professional Practices, Financial Audit and IT Audit teams to support Computer Assisted Audit Techniques (CAATs) related activities and to assist with the development of continuous auditing activities.
  • Ensure the audit plan and other critical audit initiatives are being conducted in accordance with applicable professional standards and reflect current business risks and audit requirements as well as emerging industry trends.
  • Oversee the monitoring and ongoing analysis of Risk Management and implement measures to mitigate potential risk as appropriate.
  • Ensure the team takes corrective actions in a timely manner.
  • Oversee the coordination of Regulatory and Compliance delivery of assigned audits.
  • Collaborate within Internal Audit to collectively assemble audit packages.
  • Ensure the team maintains relationships with other audit teams to support integrated, efficient and comprehensive coverage of related key risks.
  • Develop and maintain strong relationships internally to support a culture of collaboration and externally with external auditors.
  • Keep up-to-date with Agency projects and current initiatives.

Supervision/Evaluation/Development of Staff (10%)

  • Provide on-going guidance, mentoring, feedback and motivation to a staff to ensure competent performance while adhering to department policies and procedures.
  • Continually look for ways to improve team’s performance by identifying and implementing work efficiencies through process improvement techniques and employee empowerment techniques.
  • Interview and recommend prospective candidates for open departmental positions.
  • Recommend and/or make decisions in personnel related matters (performance review, disciplinary actions, and terminations). This includes monitoring attendance, leave requests, ensure accuracy of hours worked and adherence to Agency policies and procedures.
  • Oversee that training and advisory services to other auditors on technical areas of expertise is provided

 

Minimum Qualifications

  • Bachelor’s degree in accounting, finance, or any other related fields and 15+ years of experience in Regulatory and Compliance Audit and five plus years of supervisor experience, preferably with five years in a public accounting firm or internal audit department. Professional license (CPA, CISA, CIA) required and any combination of knowledge, training, and experience.
  • Advanced experience, including but not limited to, auditing a variety of IT systems including Microsoft Windows, web-based activities, database operations, and technical operations.
  • Knowledge of Generally Accepted Accounting Principles (GAAP), Generally Accepted Auditing Standards (GAAS), and Standards for the Professional Practice of Internal Auditing.
  • Knowledge of the concepts, theories, principles, and practices of accounting and auditing, including internal control concepts.
  • Advanced knowledge of National Institute of Standards and Technology (NIST) and Federal Information Security Management Act (FISMA).
  • Advanced knowledge of Department of Education and consumer finance laws and regulations applicable to a student loan servicer (e.g., Servicemembers Civil Relief Act (SCRA), Telephone Collections Protection Act (TCPA), Fair Credit Reporting Act (FCRA), Unfair, Deceptive, or Abusive Acts or Practices (UDAAP), Fair Debt Collection Practices Act (FDCPA), Anti Money Laundering (AML), etc.).
  • Advanced knowledge of Federal accounting and transaction process and internal control objectives.
  • Understanding of financial instrument valuation concepts is desired and experience with derivatives and complex financial instruments valuation is a plus.
  • Experience with Audit Control Language (ACL).
  • Demonstrated ability to quickly understand and assimilate business and various processes.
  • Demonstrated track record of team leadership and project management.
  • Sound business perspective and business judgment; understanding of the industry and related business risks; knowledge of business processes.
  • Independence and objectivity; executive-level interpersonal skills; management and leadership skills; political savvy; sound judgment personal strength; personal independence; integrity; flexibility.
  • Excellent analytical, decision making, and time management skills.
  • Demonstrated strong management and leadership skills.
  • Mature planning, organizing and directing skills.
  • Ability to collaborate and influence change at the highest levels of the organization.
  • Demonstrated advanced written and verbal communication and organizational skills.
  • Possesses advanced problem solving and analytical skills.
  • Ability to develop and maintain effective working relationships with individuals at all levels of the organization.
  • Ability to balance multiple projects at one time.
  • Proven ability to meet established milestone due dates, self-imposed or otherwise.
  • Proficient in Microsoft Office suite.
  • Perform work required for this position in an office environment.
  • Remain sedentary for significant periods of time.
  • Must be able to communicate both written and verbal (i.e. speak in front of groups of people, email, editing and discussing contracts, etc.).
  • Must be able to use a personal computer.
  • Must be able to conduct detailed research.
  • Must be able to perform basic math skills.
  • Must be able to have regular and predictable on-site attendance; highly interactive role.

 

Preferred Experience

  • Experience in a Financial Services environment, Regulatory experience with an agency preferred (e.g., OCC, FFIEC, etc.)

What We Do

GDC IT Solutions (GDC) is a full-service Information Technology (IT) company providing solutions that empower businesses to increase employee productivity, maximize investments, and improve operational efficiencies. With experienced and certified professionals, we deliver services in the areas of application development, data center, 24/7 multilingual service desk, desktop lifecycle management, project management, business process consulting, and IT staff augmentation. 

What Makes GDC Different:

Our employees are our greatest asset continually driving our success each and every day. We attract and maintain the best talent to provide a personal customer experience at every touchpoint. Our technology professionals care about day-to-day client interactions and resolving customer issues quickly and efficiently, the first time. We deliver services with a code of high ethical responsibility, both to protect our clients and to assure that the work is carried out at the maximum level of professionalism. We are technology experts remaining one step ahead as technology evolves and constantly engaging to understand our clients’ business technology needs in order to deliver the best possible solution. 

Why Work for GDC?

  • Cutting Edge Technology and Innovation: GDC fully supports and embraces continuing education and industry certifications to stay ahead of trends and remain current within the technology landscape. We recognize that our employees add the real value to our clients and to our business. By approaching our daily operations with a passion for innovation and a shared-learning environment, everyone can make a positive difference.
  • Career Growth: GDC is one of the fastest growing companies in the region!  Sustained growth means ongoing opportunity. Many of our senior leaders have grown within the company, starting with the helpdesk or other entry-level roles to become thought leaders in the fields of IT infrastructure, application development, project management, and business development.
  • Employee-Centric Environment: GDC prides itself on employee satisfaction with a firm belief that happy employees are the most productive employees. In appreciation of our employees and their contributions, we sponsor numerous events throughout the year including an annual gala, golf, lunch barbeques and more.
  • Comprehensive Benefits Package: GDC offers competitive compensation, excellent benefits, and a positive work environment designed around the philosophy of mutual respect. Our comprehensive benefits package includes medical, dental, prescription, vision, 401(k), short and long-term disability, and group life
  • Holiday and Vacation: GDC firmly believes in a comfortable work-life balance, and we offer comprehensive holiday and paid-time-off (PTO) packages.  We provide a generous PTO package, and we encourage our staff to use it — whether it’s for vacation or other personal reasons everyone needs time to relax and refresh.

Equal Opportunity Workplace:

GDC is proud to be an equal opportunity workplace and is an affirmative action employer. We are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity or Veteran status. All qualified applicants will receive consideration for employment.

 

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