Internal Audit/Regulatory Compliance Senior - Nashville - job 635687

Elliot Davis

Date: 02/23/2021

City: Nashville, Tennessee

Employment type: Full-time

We're Elliott Davis and we're revolutionizing what it means to specialize in the public accounting field. Starting with a powerful mixture of wisdom, energy and fresh perspective, we dig deep, finding the courage to challenge every comfortable assumption the system has been built upon. Around here we may do the work of accountants, but we think like startup entrepreneurs, social do-gooders and community leaders.

So what does that mean for you? We are so glad you asked.

As part of the Elliott Davis team, you'll get hands-on experience working alongside some of the leading experts in the financial and consulting field, while enjoying the freedom and autonomy to manage your career and make a positive impact on the world. Our Audit practice is fast-growing and we are eager for you to be part of this growth!

The role of a Financial Services Internal Audit Senior/Regulatory Compliance Senior is to participate in the audit process from planning to completion for clients as part of the company's internal audit plan. Tasks will include planning the audit process, researching, reviewing current processes and providing recommendations to enhance company policies and procedures. In addition, you will be active in the development of value focused solutions for our clients by leveraging data analytics, innovation, and exceptional customer service. Our ideal candidate fosters a future focused mindset, dedication to high impact outcomes, and a drive for always getting better.


  • Lead internal audit engagements surrounding various functions of community banks and other financial institutions

  • Evaluate client's internal control systems and develop recommendations to improve client processes, accounting systems, control structure and procedures, and efficiency

  • Participate in client-requested projects, such as improving processes and controls, identify compliance-related issues, and/or remediate examiner-related regulatory issues.

  • Apply the methodology of a risk management framework to help companies identify, assess, mitigate, and proactively consider emerging risks and effectively mitigate the risks associated with their business.

  • Develop and interpret data sets to understand the impact that data inputs and outputs contribute to client deliverables.

  • Assist in the development of internal audit and compliance risk assessments

  • Report findings and recommendations to client management

  • Resolve all open items/issues encountered on assigned engagements

  • Draft internal audit reports

  • Produce quality reports and outputs to clients.

  • Delegate work assignments

  • Provide honest, objective and constructive feedback in timely manner to staff

  • Review work of other engagement team members

  • Train and develop engagement team members


  • 2-5 years internal audit related position with financial institution experience OR 2+ years of experience within Bank Secrecy Act or regulatory compliance environment.

  • Working knowledge of regulatory environment and applicable banking regulations impacting the industry is a plus

  • Strong project management skills

  • CPA, CIA, CRCM, CFSA, CAMS or other relevant professional certification, or progress toward certification, preferred

  • Sound understanding of compliance and operational risks and internal control frameworks.

  • Ability to work effectively with multiple complex data sources and technical analytical tools/resources, proficiency in Power BI preferred.

  • Previous experience with Sarbanes Oxley (SOX) test of controls, a plus

  • Bachelor's degree required

  • Strong oral and written communication skills

  • Effective analytical and problem-solving ability

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