Overview

The Assistant Vice President (AVP) Internal Audit position is an integral member of the Internal Audit team that provides leadership and direction to the audit team. The AVP, Internal Audit oversees, and reviews tasks assigned to the auditors, performs complex level professional internal auditing work, and maintains all organizational and ethical standards. Additionally, the AVP, Internal Audit relies on limited instructions and pre-established guidelines to perform the functions of the job, works with limited or no supervision while performing duties, and provides coaching and professional development to audit staff.

 

Extensive and demonstrated experience within the mortgage banking industry is required, including deep knowledge of residential mortgage origination, servicing, secondary market activities, and related regulatory requirements. Advanced knowledge of mortgage-specific regulations including RESPA, TILA, TRID, HMDA, ECOA, FHA/VA/USDA guidelines, GSE requirements, and state-level mortgage compliance frameworks is essential. This role also provides mentorship to audit staff and fosters innovation in audit execution.

Travel is expected to be limited (generally less than 10%).

Responsibilities

Proven leadership experience auditing complex mortgage operations, including origination, underwriting, processing, closing, funding, post-closing, servicing, and quality control functions, is required.

Audit Execution – Planning and Risk & Control Evaluation

• Provides input to the development of the Annual Audit Plan
• Assists in the development and coordination of the internal auditing activities.
• Contributes to the ongoing improvements in internal audit methodology.
• Performs work in a manner that is consistent with Lakeview’s Internal Audit Procedures and the Institute of Internal Auditors’ (IIA) International Professional Practices Framework (IPPF)
• Identify control weaknesses and can communicate audit findings effectively to members of management in an objective manner.
• Effectively interacts with all levels of management within the company.
• Accomplishes audit activities within stipulated schedules.

 

Project Management, Communication and Reporting

• Lead meetings to obtain process understanding, provide engagement updates, and communicate audit results.
• Develop clear, concise, and well-supported audit reports summarizing scope, findings, and recommendations.
• Present results to management and influence agreement on control enhancements and remediation actions

 

Team Development and Personal Development

• Assists the VP, Internal Audit in supervising, directing, training, mentoring, and evaluating staff and developing a strong team effort among staff members.
• Plays a positive role in the development and growth of assigned department staff through excellent communication skills, both verbal and written, along with strong delegation skills assuring highly cross-trained staff
• Processes, solves, and answers complex transactions, problems, or inquiries.
• Foster a collaborative, high-performance culture focused on learning and innovation.
• Share technical expertise, emerging risk insights, and best practices with the broader team.
• Other duties as needed or required.

Qualifications

• Bachelor’s degree from an accredited college or university.
• Minimum of 10+ years of progressive internal audit or risk management experience within the mortgage banking industry is required.
• Advanced knowledge of mortgage industry programs, policies, procedures, Federal/State compliance regulations, and laws
• Knowledge of the Standards for the Professional Practice of Internal Auditing and the Code of Ethics developed by the Institute of Internal Auditors
• Skilled in collecting and analyzing data, evaluating information and systems, use of Artificial Intelligence (AI) and drawing logical conclusions.
• Knowledge of ITGC (Information Technology General Controls) and fraud prevention concepts and practices

• Proficiency in Microsoft Excel (advanced functions, macros, pivot tables), Word, and PowerPoint
• Experience with audit management software such as AuditBoard
• Effective project management, prioritization, and multi-tasking capabilities

• Exceptional written and verbal communication skills; able to articulate complex audit issues to non-technical audiences and executive stakeholders.
• Demonstrated ability to lead, motivate, and develop team members.
• Ability to establish and maintain working relationships with co-workers, staff, and external contacts, and to work effectively in a professional team environment (strong collaborator and influencer)
• Ability to connect audit results to broader enterprise risk management objectives.

Certifications, Licenses, and/or Registration

• Industry certification preferred (CPA, CIA, CRMA, CISA, CFE, etc.).

Physical Demands and Work Environment

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential functions.

 

While performing the duties of this job, the employee is regularly required to sit and use hands to handle, touch or feel objects, tools, or controls. The employee frequently is required to talk and hear. The noise level in the work environment is usually moderate. The employee is occasionally required to stand; walk; reach with hands and arms. The employee is rarely required to stoop, kneel, crouch, or crawl. The employee must regularly lift and/or move up to 10 pounds. Specific vision abilities required by this job include close vision, color vision, and the ability to adjust focus.

 

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