Summary:

Completion of regulatory compliance audit plans support Clayton’s mission and vision by providing assurance and advice to internal and external stakeholders regarding the design and operational effectiveness of business processes, internal controls, compliance management system, and overall compliance risk management.

The Internal Audit (Level 13/Lead Auditor) – Regulatory Compliance is responsible for work on audit projects which contribute to the completion of the annual audit plan, focused on customer experience, the adequacy and effectiveness of internal controls, and overall compliance management system.

Job duties & responsibilities:

• Serve as an auditor-in-charge for complex audit assignments across Clayton’s mortgage subsidiaries by:

  • Planning, scoping, developing, and executing custom audit programs on time and on budget with minimal supervision;

  • Leading audits and assisting in the review of work papers as part of the training of staff auditors;

  • Developing data analytics for audits and special projects by:

    • Locating and scrubbing data from various sources;

    • Filtering and analyzing data;

    • Interpreting data for decision making;

    • Presenting data in a meaningful and visually compelling format;

  • Reviewing existing test plans for efficiency opportunities including using automation or analytics techniques;

  • Communicating progress, issues, and opportunities for improvement to the manager and business partners on a timely basis;

  • Collaborating with management to co-develop appropriate recommendations and action plans to address opportunities for improvement;

  • Conducting follow-up testing on corrective actions for previously identified opportunities for improvement; and

  • Assisting with aspects of the annual and ongoing risk assessments to support the development and maintenance of the audit plan.

• Serve as an advisor to management on compliance projects by:

  • Developing a solid understanding of mortgage compliance regulations, the regulatory environment, and business strategies for internal business partners;

  • Communicating with and educating business partners on the importance of controls and an effective compliance management system;

  • Advocating incorporation of risk management in the implementation of new systems and processes, or changes to existing systems and processes; and

  • Taking initiative to proactively suggest/research new audit techniques.

• Takes a leadership role in training and mentoring of new and junior team members by:

  • Overseeing auditors on a project basis and by reviewing work papers for accuracy and completeness; and

  • Providing feedback on audit quality and technique.

• Build and maintain relationships with business partners at the executive, manager, and staff levels:

  • Provide advice and share Internal Audit or compliance knowledge with them, as appropriate.

• Develop, present, and maintain training materials within and outside the Internal Audit department; and

• Complete training to enhance audit skills and to maintain professional certifications, as applicable.

• Complete training to improve audit skills and make progress toward or maintain professional certifications.

Qualifications:

• Bachelor’s degree in Accounting, Finance, business, or equivalent experience.

• 5+ years of related work experience in mortgage compliance, banking, or financial services auditing.

• CPA, CIA, or other audit-related professional certification.

• Working knowledge of mortgage-related compliance regulations preferred;

• Proficient in Microsoft O365 Applications including, Excel, Word, and PowerPoint;

• Experience with Audit Management applications such as AuditBoard, a plus;

• Basic knowledge or desire to learn analytics tools such as Tableau, PowerBi, Alteryx, or SQL, a plus;

• Ability to communicate effectively both verbally and in writing, across multiple levels of management and staff;

• Strong analytical skills with high attention to detail and accuracy;

• Experience conducting independent research and collaborating with project teams and internal business partners;

• Detail oriented and able to manage multiple deadlines, complete tasks timely, and follow up as needed to complete projects within time and schedule budgets;

• Professional, well organized, thorough, committed, urgent, and a resourceful problem solver;

• Self-starter with ability to work under limited supervision; and

• Flexibility adapting from working in a team environment to working individually.

Independence and Objectivity:

• Applicants who have a family member employed by Clayton (or other relationship presenting a conflict of interest) may not be considered.

Business Unit - B00015