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- BA/BS in accounting, business, finance, or related field.
- 5+ years of experience in internal or external audit, IT Audit, or risk management experience, including management.
- Oral, written, and analytical skills with demonstrated ability to deal effectively with all levels of management.
- Strong understanding of internal control theory and audit techniques, and a good understanding of computer assisted audit techniques.
- Strong understanding of internal control theory and audit techniques and Project management.
- Familiarity with US regulatory, compliance and governance.
- Experience with the financial industry and related markets (e.g., Consumer Banking, Consumer Lending, Wealth Management, Capital Markets, Commercial Loans, Trade Services, Payment Operations, Fund Services etc.).
- Demonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).
- Knowledge of issues management, including testing and evaluating processes and controls, risk assessment and audit methodology.
- Certifications: CIA, CPA, CFSA, and/or CISA or in progress are a huge plus.
- Prepares high level flowcharts or control narratives, risk assessment and audit program of the audit area/function/department to determine the nature of the operations and the existence of sufficient internal controls used to achieve established objectives and minimize the risk exposure to the Bank.
- Reviews, verifies, and analyzes transactions, documents, records, and reports for accuracy, completeness, and appropriateness.
- Evaluates the adequacy and effectiveness of internal control methods, policies, and procedures.
- Determines that duties are performed in accordance with company policies, operating procedures, other management instructions, and regulatory requirements.
- Determines that transactions are recorded promptly and accurately.
- Determines that assets are safeguarded adequately.
- Conducts interviews with appropriate Company personnel to supplement assigned audit test.
- Prepares professional work papers including supporting documentation for each audit issue identified.
- Plans the audit including development of the risk assessment, high level process flows, internal control documentation, and the audit program.
- Assigns segments of the program to assisting auditors.
- Oversees staff assignments to ensure completion within established time budgets.
- Immediately informs the Chief Internal Audit and/or Audit Manager of any conditions that may adversely impact the audit or the Company’s safety and soundness.
- Reviews work papers prepared by assisting auditors for accuracy and completeness.
- Prepares Exit Grid with findings and recommendations for the review and approval of the Audit Manager and Chief Internal Auditor.
- Presents audit findings to management in Exit meeting.
- Prepares draft audit reports for the review and approval of the Audit Manager and Chief Internal Auditor.
- Performs follow up to determine the existence and adequacy of corrective actions taken by management in response to audit recommendations.
- Develops good working relationships with auditees and collaborates with auditees during the audit process.
- Validate issues by evaluating effectiveness and sustainability of remediation of issues.
- Review and provide feedback on new issues with audit teams as they are being developed,
- Review and provide feedback on issue closure package submissions with lines of business.
- Escalate to management risks to remediation timelines.
- Support management by generating various metrics reports for senior management and board level committees.
- Identify potential risk, including awareness of risks both within span of control as well as enterprise wide.
- Report results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk.
- Maintain compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations
- ID: #43099236
- State: California Elmonte 91731 Elmonte USA
- City: Elmonte
- Salary: $100,000 - $130,000
- Job type: Permanent
- Showed: 2022-06-16
- Deadline: 2022-07-24
- Category: Et cetera