UNITED BANK & CAPITAL TRUST CO.
GEORGETOWN MAIN OFFICE
The Compliance Auditor is primarily responsible for developing the Compliance Audit Plan and coordinating with the SVP of Internal Audit to provide a comprehensive independent assessment of controls and policies designed to comply with Regulatory requirements guidelines and frameworks established by applicable state and federal Regulatory agencies, including but not limited to the FDIC, FRB, CFPB, and SEC. To this end, the Compliance Auditor is responsible for the supporting independent enterprise-wide compliance risk assessment framework. This individual develops the audit approach based on the risk assessment, Regulatory guidance and industry best practices.
The Compliance Auditor provides leadership and coaching to optimize team and individual performance as well as technical guidance on developments in banking laws and Regulations and financial reporting requirements. This individual recommends revisions or enhancements to policies, procedures or programs as applicable.
The Compliance Auditor assists with the SVP of Internal Audit’s communications to the Audit Committee, FCBC management, external auditors and Regulators.
The Compliance Auditor remains independent in all activities as this individual’s purpose is to independently test for compliance with laws and Regulations. This function is a key component of the compliance management system.