Internal Audit Manager

2 weeks ago

Scottsdale, United States Sunwest Bank Full time

**SUMMARY**

Under the general direction of the Audit Committee and the Chief Risk Officer, the individual in this role performs the Internal Audit risk assessment in collaboration with the Chief Risk Officer in order to plan, prioritize, and coordinate with the audit vendors utilizing a co-source model. This individual will perform various audits and effectively manage the audit engagements performed by the vendors. This includes ensuring the scope of the audits address the key operational, IT, regulatory compliance, financial and accounting, FDICIA and fraud risks of each area to be audited. The Internal Audit Manager is further responsible for ensuring the vendors follow the Bank’s internal audit standards and that engagements are executed within budget and on time. This individual will be responsible for reporting and presenting at the Audit Committee which will include status on audit engagements, high or moderate risk findings, remediation timelines. This individual will have the opportunity to develop the Bank’s Internal Audit function as the Bank grows to eventually include internal staff.

**ESSENTIAL DUTIES AND RESPONSIBILITIES**
- Ensures that the Internal Audit Charter and procedures address the requirements and expectations for an Audit Program of a federally supervised depository institution and are kept current in applicable policy manuals.
- Plans and demonstrates collaboration with the external auditors with regards to testing of the fiduciary controls currently outsourced to a vendor and execute certain audits based upon the Internal Audit Manager’s expertise and knowledge.
- Collaborates extensively with the business lines and builds strong relationships based on trust and transparency that is facilitated by strong inter-personal communication skills.
- Promotes a consultive audit approach with the business line partners and fosters a culture of support and guidance while maintaining the 3rd line of defense independence.
- Develops and implements audit vendor management strategies that help to optimize the value provided by the vendors to the Bank.
- Performs and presents the Internal Audit Risk Assessment and risk-based annual audit plan to the Audit Committee.
- Communicates the internal audit plans and resource requirements, including interim changes, to the Audit Committee for review and approval and to the Board.
- Directly manages and directs an effective and timely execution of the Internal Audit and the FDICIA plans.
- Manage multiple audit engagements and provides supervision over all audit activities.
- Manages relationships with any co-sourced or outsourced audit service providers. Shares information and coordinates activities with other internal and external providers of relevant assurance and consulting services to ensure sufficient coverage and minimize duplication of efforts while managing cost.
- Establishes risk-based plans to determine the priorities of the Internal Audit Department, consistent with the organization goals.
- Identifies and assesses internal control weaknesses, audit exceptions and inefficiencies, and makes recommendations for remediation. (consolidate with second to last bullet point?)
- Ensures that timely and accurate reports are provided to the Audit Committee summarizing audits performed, high or moderate risk findings, status of corrective actions, and status on the audit schedule.
- Provides best practice recommendations for internal controls to help ensure compliance with laws, policies and procedures.
- Competently investigates fraud.

**ADDITIONAL RESPONSIBILITIES**
- Demonstrates a high degree of professionalism in conduct and communication, positive outlook while fostering teamwork with the Bank’s business lines, peers and management teams.
- Ability to effectively communicate with all levels of the Bank’s employees from the front line, to the business leaders, and the executives.
- Demonstrates high level of commitment to quality work, and the value proposition delivered through the audit reports.
- Adheres to local, state and federal laws.
- Understands and complies with all company rules and regulations.
- Attends training and professional development in the Internal Audit profession.

**SUPERVISORY RESPONSIBILITIES**
- This position does have supervisory responsibilities.

**MINIMUM QUALIFICATIONS**
- Bachelors degree required.
- Professional certification, CIA and or CPA required.
- Five years of Internal Audit experience in a supervisory or manager role either in public accounting within the risk advisory practice or within a Bank’s Internal Audit function.
- Demonstrated knowledge and expertise with internal audit standards as described under Federal and State banking regulations. Strong knowledge of performing risk assessments, developing risk-based audit programs and attribute schedules, and writing audit reports.
- Demonstrated effective oral and written communications skills, and analytical skills with the demonstrated a

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