Manager I

General Description

The Continuous Audits & Special Investigations Manager is responsible for leading the Continuous Audits and Special Investigations unit, which is tasked with conducting continuous audits, investigating customer claims, allegations, and internal irregularities where there is a possibility that an employee might have committed fraud or deviated from established laws, regulations, and policies and procedures. Also responsible for managing internal audit projects, including SOX 404 tests of key controls where applicable, in accordance with the annual audit plan and the established division standards.

Essential Duties and Responsibilities

• Leadership and Team Management: Lead, manage, and mentor a team of investigators and auditors. Develop and implement training programs to ensure the team is well-equipped to handle complex investigations. Foster a culture of integrity, accountability, and continuous improvement within the team.
• Continuous Audits: Design and oversee the execution of continuous audits to ensure compliance with internal controls, policies, and procedures. Identify and assess potential risks associated with business processes and develop risk mitigation strategies.
• Special Investigations: Oversee the investigation of customer claims, allegations, and internal irregularities involving potential employee fraud or deviations from laws, regulations, policies, and procedures. Develop and implement investigation strategies to ensure thorough and timely resolution of cases. Collaborate with other departments, such as Legal, Compliance, and Human Resources, to gather necessary information and coordinate investigative efforts. Prepare detailed investigation reports and present findings to senior management and relevant stakeholders.
• Risk Management, Compliance, and Continuous Monitoring: Identify and assess potential risks associated with employee misconduct and fraud. Issue recommendations to management for them to develop and implement risk mitigation strategies to prevent future occurrences of fraud and misconduct. Ensure all audits and investigations are conducted in accordance with company policies and relevant legal and regulatory requirements.
• Audits - Manages and executes assigned audits, including testing key controls and supporting the development of the annual audit plan through risk assessments. Engages with management to discuss and resolve audit recommendations, coordinates meetings, and ensures timely completion of audits while identifying opportunities for data analytics.

Education

Bachelor’s degree in criminal justice, Business Administration or Information Systems

Experience

Seven (7) years of experience in auditing, investigations, or a related field, with at least 5 years of experience managing others. Knowledge of Bank Secrecy Act/Anti-Money Laundering (BSA/AML), Office of Foreign Assets Control (OFAC), and FinCEN related laws and regulations.

Certifications/ Licenses

A professional certification/license is required. Preferred certifications/licenses:

Certified Fraud Examiner (CFE)

Certified Public Accountant (CPA)

Certified Internal Auditor (CIA)

Certified Anti-Money Laundering Specialist (CAMS)

Values

Additional Requirements

The information provided here is only a general guide as to the nature of the position and does not constitute an exact description of the goals, tasks, duties and responsibilities of the position. The specific details of each position are described in the employee’s performance evaluation.