Branch Operations Senior Audit and Governance Specialist

Wintrust Financial Corporation - Carol Stream, IL

Full-time - Mid Level

Carol Stream, IL

11-50 employees

Credit Intermediation and Related Activities

About the position

The Branch Operations Senior Audit and Governance Specialist at Wintrust Financial is a pivotal role within the Corporate Operations team, focusing on ensuring the integrity and compliance of branch operations through comprehensive audits and governance practices. This position is responsible for conducting branch audits and related review activities, ensuring that all audits are completed in a timely manner and that audit validations are performed effectively. The specialist will identify and communicate any control deficiencies to both bank and corporate management, and will monitor, implement, and validate corrective actions to address these deficiencies. In addition to performing various assigned branch audits and reviews, the specialist will ensure the quality of audit engagements by adhering to established policies and standards. This includes timely communication and validation of remediation actions for audit findings, as well as training and developing members of the branch audit team. The role requires a strong commitment to maintaining confidentiality and protecting the company's sensitive information, in line with the Corporate Code of Ethics. The specialist will also establish and maintain strong partnerships across all disciplines within the organization to foster a collaborative approach to audit and governance. Furthermore, the role supports the annual banker and teller Risk Control Self-Assessment (RCSA) process by identifying risks and controls, and assisting in the completion of control testing. This position is essential for ensuring that Wintrust Financial continues to operate within the regulatory framework and maintains its reputation for excellence in community banking.

Responsibilities

• Complete branch audits and related review activities to ensure timely completion of audits including audit validations.
• Perform various assigned branch audits and reviews, identifying and communicating control deficiencies to bank and corporate management.
• Monitor, implement, and validate corrective actions for identified deficiencies.
• Ensure audit engagement quality, including adherence to policies and standards, and timely communication of audit findings.
• Train and develop branch audit team members to enhance their skills and knowledge.
• Adhere to the Corporate Code of Ethics and maintain confidentiality of sensitive information.
• Establish and maintain strong partnerships across all disciplines to drive a collaborative approach.
• Support the annual banker and teller RCSA process by identifying risks and controls and assisting in control testing.

Requirements

• 5-7 years of experience in auditing or a related field.
• Bachelor's degree preferred, with a focus on finance, accounting, or business.
• Knowledge of banking regulatory policies and compliance requirements.
• Proven ability to manage and coordinate audits of a group, analyze results, and recommend actions.
• Understanding of the importance of complying with all department, bank, and regulatory policies.
• Ability to work weekends and evenings as dictated by operational needs/projects.
• High School Diploma or GED required.
• Ability to travel greater than 50% within the bank region.
• Intermediate computer skills.

Benefits

• Medical Insurance
• Dental Insurance
• Vision Insurance
• Life Insurance
• Accidental Death and Dismemberment Insurance
• 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