Senior Auditor

SUMMARY:

The position of Senior Auditor is responsible for performing and coordinating the planning, fieldwork, and reporting of audits of auditable entities, or other functional units, ensuring compliance with regulations and bank policy and procedures.

ESSENTIAL FUNCTIONS:

• Develops and executes audits and reviews of coverage areas assigned. Scope will include audits in accordance with the audit plan, including, but not limited to, financial and operational audits and SOX work. Incumbent will perform both substantive testing procedures as well as tests of controls and analytics.

• Prepares and updates risk assessments for assigned areas.

• Mentors and guides auditors assigned to their respective assignments. Develops audit staff with less experience.

• Reviews and / or assist in the preparation of reports of audit findings, presenting any irregularities or exceptions to appropriate audit personnel.

• Utilizes sound analytical and technical skills to communicate audit issues and findings with process owners and management.

• Follows up on audit issues to ensure proper remediation by management.

• Performs routine monitoring of activities in the organization between audits.

• Present final audit reports to Chief Audit Executive to point out problems and outline corrective measures.

• Assists in coordination and delivery of audit requests for outsourced internal audit functions, regulatory examiners and/or external auditors as needed.

• Completes annual compliance courses and maintains appropriate CPE hours for certification(s).

• Adheres specifically to all corporate policies and procedures as well as ethics standards outlined by the IIA. Also adheres to Federal and State regulations and laws; including, the Bank Secrecy Act and the Anti-Money Laundering Act.

• Adheres to all levels of our Service Excellence standards.

• Performs other duties as required.

GENERAL QUALIFICATIONS:

Knowledge & Experience: These specifications are general guidelines based on the minimum experience normally considered essential to the satisfactory performance of this position. Individual abilities may result in some deviation from these guidelines.

• Bachelor’s degree from a four-year college or university.

• Minimum four years of experience in internal audit or public accounting.

• Work related experience should consist of an in- depth background in auditing skills, bank administration, and compliance.

• Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be business or financial industry related.

• Audit certifications (CFSA, CIA, CISA or CPA) required or ability to obtain in the first two years of assignment.

• Self-starter capable of planning and executing audit test plans within a risk-based audit framework

• Experience evaluating IT controls and/or SOX controls

• Excellent oral/written communication skills along with excellent organizational skills are vitally important.

• Must be dedicated to the goals and visions of the bank.

• Must be able to establish relationships and effectively communicate with all levels of bank personnel.

• Must have the strength to stand behind decisions that are made and be able to face obstacles and negative response from others when performing this function within the bank.

• Must be detail oriented and analytical, while being versatile and able to multi-task.

• Must maintain knowledge of many areas of the financial institution.

• Must be able to adhere to bank policies and procedures.

Physical Demands/Work Environment: Vision, hearing, speech, dexterity, visual concentration. A valid driver’s license is required. Must have the ability to stand, walk, sit and use hands and fingers. Must have the ability to work the hours and days required to complete the essential functions of the position, as scheduled. The environment is a professional office with standard office equipment.

Cognitive Requirements: Learning, thinking, concentration, ability to exercise self-control, ability to work in a customer relations’ environment. Must be able to pay close attention to detail and be able to work as a member of a team. Must have the ability to interact effectively with co-workers and customers, and exercise self-control and diplomacy in customer and employee relations’ situations. Must have the ability to exercise discretion as well as appropriate judgments when necessary.

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.