Chief Audit Executive

2 months ago

Irvine, United States First Foundation Bank Full time
Job DescriptionJob Description

Summary: Responsible for the Company’s internal audit program and framework that is specific and appropriate for the size and complexity of First Foundation Bank. This position demands an understanding of internal auditing standards and regulatory compliance. The Chief Audit Executive provides independent assessments to the Audit Committee of the Board of Directors and Senior Management on the design and operating effectiveness of internal controls, implementation, execution, and governance of the Bank’s core business processes and risk management framework. This role will be responsible for developing/enhancing/maintaining comprehensive auditing strategies, managing audit resources (to include oversight of co-source providers), and providing reporting and key insights to the Audit Committee of the Board of Directors on internal audit-related activities. Additionally, this role will ensure that audit findings and recommendations are tracked, addressed, and validated on time. Maintains an effective Quality Assurance and Improvement Program. This position reports to the Audit Committee of the Board of Directors and administratively to the Bank’s Chief Executive Officer.

Salary Range: The salary range in CA for this role is $151,200 to $232,800 and represents the Company's good faith minimum and maximum range for this role at the time of posting. The actual compensation offered to a candidate may vary outside of this range depending on several factors, including a candidate's qualifications, skills, competencies, experience, and location.

The Company also offers a full range of benefits, including medical, dental, vision, and 401K match. Other rewards may include annual performance-based bonuses and wellness days.

Applicants must have current work authorization when accepting a First Foundation Inc. position. Currently, we are unable to sponsor or take over the sponsorship of an Employment Visa.


Duties and Responsibilities:

  • Establishes and maintains an IA Policy, Charter, procedures, templates, and processes to ensure the Internal Audit Department adheres to the professional standards set forth by the IIA and meets regulatory requirements.
  • Develops, revises as appropriate, and monitors the Annual Internal Audit Plan for timely completion, including establishing and reporting on status and budgeted hours.
  • Coordinates and is accountable for internal auditing activities and is present (as needed/required) for on-site audits, regulatory examinations, Audit Committee meetings, etc.
  • Responsible for the oversight and management of the Internal Audit Department staff and Co-source providers who perform operational, regulatory compliance, financial control, and IT audits.
  • Develops and maintains value-added business partner relationships with all levels of management, regulators, and external auditors. Opines on various Bank-wide initiatives, such as new business initiatives and system implementations.
  • Leads the planning, execution, and reporting of internal audit engagements to include aligning audits with strategic imperatives, objectives, and risks.
  • Investigate and determine the root causes of irregularities and errors.
  • Identifies risks and proposes mitigation strategies.
  • Prepares presentations and other materials in support of the Internal Audit’s Risk assessment, Audit Plan, and the status of outstanding issues to management, the Audit Committee, and as requested, by the regulators.
  • Responsible for maintaining, tracking, monitoring, and validating all IA findings, recommendations, and related corrective action plans, including the validation of regulatory examination corrective action plans.
  • Administration and maintenance of the Quality Assurance and Improvement Program to help ensure the Internal Audit Department is compliant with IIA Standards, IA Policy, and Activity Charter requirements, Audit Manual guidelines, and applicable laws and regulations.
  • Maintains a current and comprehensive Audit Universe and Risk Assessment process.
  • Attends and participates (as a guest) in various committee meetings, as appropriate.
  • Other duties as appropriate.

Supervisory Responsibilities: Manages staff of the Internal Audit Department to ensure it is staffed with appropriate and skilled personnel. Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and encouraging employees; addressing complaints and resolving issues. Provides effective oversight of co-sourced providers.

Qualifications:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements below represent the required knowledge, skill, and/or ability. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.

Education and/or Experience:

Bachelor’s Degree in a relevant field and a minimum of ten (10) years of previous internal audit and supervisory experience within the Financial Services industry, which includes experience with a Bank of at least $10 Billion in Assets. Professional designation (e.g., CPA, CIA, CISA, etc.) is also required.

Language skills

  • Excellent command of the English language, both written and verbal, and the ability to effectively communicate with all levels within the organization.

Systems/Software skills

  • Must have satisfactory computer and spreadsheet skills.

Physical Demands:

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. Travel may be required to and from offices and other various locations. Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions.

While performing the duties of this job, the employee is regularly required to sit; use hands and fingers, handle, or feel; reach with hands and arms; and talk or hear. The employee is occasionally required to stand, walk; stoop, kneel, or crouch. The employee must occasionally lift and/or move up to 25 pounds. Specific vision abilities required by this job include close vision, distance vision, color vision, peripheral vision, and the ability to adjust focus.

First Foundation is an equal opportunity employer, and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, protected veteran status, status as a qualified individual with a disability, sexual orientation, gender identity, or any other characteristic protected by law.


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