Compliance Audit Manager

About the role

Happen Bank Internal Audit provides independent, objective assurance and consulting services that strengthen the company's operations. As trusted partners, we help the business achieve its goals by taking a systematic and disciplined approach to evaluate and improve the effectiveness of risk management, control, and governance processes. As Happen Bank continues to grow and evolve, so does our Internal Audit team. We're looking for an experienced and adaptable Compliance Audit Manager who thrives in a dynamic environment and embraces change. In this role, the candidate will bring internal audit and financial services experience to deliver audit assurance and to help innovate the function's methods, tools, and assurance capabilities.

Responsibilities

• Lead and perform moderate to high-complexity audit work with limited supervision
• Identify key risks across end-to-end processes and develop risk-based audit scopes and test plans
• Execute and document audit procedures in accordance with Institute of Internal Auditors (IIA) standards
• Provide guidance and mentorship to audit team members throughout audit execution, fostering collaboration and professional growth
• Partner with business leaders to validate findings, identify root causes, and agree on practical, sustainable corrective actions-while maintaining professional independence
• Monitor management's progress on remediation efforts and validate completed actions
• Support department-wide projects and initiatives to enhance Internal Audit methodologies, tools, and assurance capabilities
• Own and advance the Bank's established Compliance and Financial Crimes Compliance coverage strategies, refining them over time to ensure complete regulatory coverage with risk-proportionate auditing.
• Stay current on emerging audit standards, regulatory changes, and industry trends, and share insights with the broader team
• As a Compliance Audit Manager, you will leverage artificial intelligence throughout the audit lifecycle, including annual planning, risk assessment, audit planning, fieldwork, and reporting, to enhance efficiency, consistency, and insight generation
• Work cross-functionally to advance the Bank's compliance monitoring capabilities toward real-time, continuous compliance auditing through the application of data analytics, AI, and LLMs
• About You
• 6+ years of Internal Audit or related experience, ideally within financial services
• Bachelor's degree or higher, or equivalent combination of education and experience
• Professional certification(s) such as CIA, CISA, CPA, CAMS, or CRCM preferred (or willingness to obtain)
• Demonstrated ability to lead and motivate a collaborative audit team on complex engagements
• Strong analytical and critical-thinking skills, including proficiency with Excel and data analytics
• Excellent organizational skills and the ability to manage multiple priorities effectively
• Advanced written and verbal communication skills, with the ability to clearly articulate insights and influence stakeholders
• Experience with audit management tools (e.g., Optro)
• Working knowledge of key regulations, including consumer protection laws (e.g., ECOA/Reg B, EFTA/Reg E, TILA/Reg Z, EFAA/Reg CC) and BSA/AML/OFAC programs
• Curious, adaptable, and proactive, with a passion for continuous improvement and driving meaningful impact
• Work Location
• San Francisco or Lehi
• Time Zone Requirements
• Local hours (PT, MT)
• While the position will primarily work local hours, Happen Bank is headquartered in Pacific Time and our ideal candidate will be flexible working across time zones when necessary.
• Travel Requirements
• As needed travel to Happen Bank offices and/or other locations, as needed.

Benefits

Additional Information

Current Employees of Happen Bank: Please apply via your internal Workday Account Happen Bank (formerly LendingClub) is built around a simple purpose: to clear the way to help people turn intention into action, and action into financial progress. That means offering focused products, a frictionless mobile-first experience, and clear terms with no gotchas. Respect and fairness is part of our DNA, and that ideal shapes how we work, how we treat each other, and how we invest in our employees and our community. Join us in using data, bold thinking, and a commitment to innovation to help clear the way for millions of Americans to achieve more.

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