Senior Compliance Auditor (Finance)
Wintrust is a financial holding company with approximately $62 billion in assets whose common stock is traded on the NASDAQ Global Select Market. Guided by its “Different Approach, Better Results” philosophy, Wintrust offers the sophisticated resources of a large bank while providing a community banking experience to each customer. Wintrust operates more than 200 retail banking locations through 16 community bank subsidiaries in the greater Chicago, southern Wisconsin, west Michigan, northwest Indiana, and southwest Florida market areas. In addition, Wintrust operates various non-bank business units, providing residential mortgage origination, wealth management, commercial and life insurance premium financing, short-term accounts receivable financing/outsourced administrative services to the temporary staffing services industry, and qualified intermediary services for tax-deferred exchanges. Our unique business model is a competitive strength and value driver, powered by our talented colleagues who put our customers first and achieve better results for our clients.
Why join us?
An award-winning culture! We are rated a Top Workplace by the Chicago Tribune (past 11 years) and Employee Recommended award by the Globe & Mail (past 6 years)
Competitive pay and discretionary or incentive bonus eligible
Comprehensive benefit package including medical, dental, vision, life, a 401k plan with a generous company match and tuition reimbursement to name a few
Promote from within culture
Why join this team?
This position has the opportunity to interface with and have a positive impact on multiple areas of Wintrust's business
We hold ourselves accountable to high standards, share wins, operate ethically, and have fun
Position Overview
Wintrust is looking for a highly self-motivated, creative and enthusiastic professional to join the Wintrust Internal Audit team. We are offering audit professionals the opportunity to develop their auditing skills through execution of a risk-based audit plan. The Senior Compliance Auditor will assist Audit Senior Leadership in meeting the strategic objectives and mission of the Company's value-add focus internal audit function.
Internal Audit at Wintrust Financial Corporation independently and objectively assesses processes to evaluate the adequacy of the design and effectiveness of internal controls. Internal Audit is responsible for providing assurance and guidance across all lines of business (i.e. core banking – deposits / lending, mortgage lending, wealth management, leasing, insurance premium finance, payroll financing) and corporate functions (i.e. accounting / finance, compliance / BSA, risk management, marketing, information technology, information security). Team members are encouraged to think creatively, challenge current processes, build relationships, identify and evaluate emerging risks, and hold themselves and teammates accountable in a flexible and delivery driven environment.
This Compliance Senior Auditor will be primarily responsible for assisting with the planning and completion of compliance audit activities; however, may also assist in other audit engagements as assigned by audit management. This role may also be an “Audit-In-Charge” position and will be responsible for leading audit engagements, assisting in the development / refinement of the scope of the audit, devise an appropriate testing approach, ensure workpaper quality, and audit completion timeliness. Further, must possess strong communication skills to effectively communicate with team members throughout the audit process and to communicate audit results to internal audit clients.
What You'll Do
Perform various roles on audit engagements based on the needs of the team, including leading and/or staffing audits and perform issue validation as needed
Work closely with audit manager and team members to develop and execute audit planning and fieldwork
Assist with the completion of required planning documentation, perform process walkthroughs, and draft risks, controls, and test programs
Execute testing in accordance with department and IIA standards producing clear and concise documentation that aligns with test objectives
Apply analytical skills to review information, assess audit results, and evaluate adequacy of controls
Effectively communicate audit results, both verbally and in writing, to team members and stakeholders
Obtain and maintain an awareness of organizational, procedural, and technological changes that have occurred / planned to occur within responsible areas
Qualifications
Minimum of a bachelor's degree, from an accredited college or university, with a major in Accounting, Business Administration, Finance or related field of study
Compliance related professional certification required (i.e. CRCM, CAMS)
Demonstrated experience and competency with consumer banking regulatory mandates and the assessment of risks and controls
Minimum of 3+ years of relevant audit experience in internal audit and / or consumer banking compliance
Excellent time management skills and attention to detail
Benefits
Medical Insurance • Dental • Vision • Life insurance • Accidental death and dismemberment • Short-term and long-term Disability Insurance • Parental Leave • Employee Assistance Program (EAP) • Traditional and Roth 401(k) with company match • Flexible Spending Account (FSA) • Employee Stock Purchase Plan at 5% discount • Critical Illness Insurance • Accident Insurance • Transportation and Commuting Benefits • Banking Benefits • Pet Insurance
Compensation
The estimated salary range for this role is $71,000.00 - $92,000.00, along with eligibility to earn an annual bonus. Actual salaries may vary based on several factors, such as a candidate's qualifications, skills and experience.
#LI-Hybrid
From our first day in business, Wintrust has been proud to serve a variety of unique communities and people from all walks of life. To be Chicago's Bank® and Wisconsin's Bank®, we need to reflect that diversity both in all the communities we serve, the people we employ, the organizations we work with, and our banking and lending practices. Wintrust Financial Corporation, including community banking and financial services subsidiaries, is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, national origin, sex, sexual orientation, gender identity and expressions, genetic information, marital status, age, disability, or status as a covered veteran or any other characteristic protected by law.
