Senior Auditor

2 weeks ago

Miami, United States The Ladders Full time
Overview

The Senior Auditor conducts independent audits of all Bank activities to evaluate the adequacy and effectiveness of the system of internal control and operating procedures. Appraises the fairness and reliability of financial records and information for internal management purposes. Determines compliance with laws, regulations and operating procedures. Evaluates the adequacy of procedures for safeguarding assets and prevention and detection of loss. Promotes the quality and efficiency of ongoing operations. This position requires the exercise of initiative, discretion and independent judgment, within the scope of the individual's authority, with respect to matters of significance to the Bank.

Principal Duties & Responsibilities:
  • Performs audits of all accounting records of the bank such as assets, liabilities, income, expense and related operations in accordance with the audit program approved by the Audit Committee.
  • This includes planning the audit, performing walk-troughs, assessing risks and controls, performing field work in accordance with generally accepted auditing standards, evaluating internal controls for adequacy, and preparing related working papers to document work performed and substantiate conclusions reached.
  • Communicats audit findings and recommendations as a results of the audit with senior management, stakeholders and regulatory bodies.
  • Writes and discusses Corrective Action Plans during the audit field work with appropriate bank management.
  • Drafts audit reports with scope, observations, management discussion items, enhancement opportunities and Corrective Audit Plans resulting from audit work performed to discuss with appropriate level management.
  • Participates with the Bank Examiners and External Auditors in conducting their examinations and audits.
  • Prepares and revises audit procedures and internal control questionnaires as needed.
  • May specialize in certain areas requiring in-depth knowledge and training in the function, such as regulatory compliance, securities regulations, capital markets and fiduciary trust activities.
Qualifications
  • 5-7 years of minimum experience in bank internal auditing, external auditing of financial institutions or regulatory examination with thorough knowledge of practices, principles, and inter-relationships of banking functions, capital markets and wealth management.
  • Requires skills in fact-finding, analysis, problem-solving and decision making.
  • Strong regulatory requirements and risk framework knowledge and other relevant guidelines governing credit, liquidity, interest rate and fiduciary risks.
  • Advanced PC skills including working knowledge of TeamMate, Word and Excel
  • Experience in creating process documentation, developing audit plans, and performing audits.
  • Ability to plan, execute and evaluate audit test plans within a risk based audit methodology.
  • Strong written and verbal communication skills.
  • Knowledge of internal controls, financial terminology and bank documentation requirements.
  • Experience in assessing financial models and knowledge of testing effectiveness and recommending improvements.
  • Ability to communicate with various levels of staff and management.
  • Ability to manage scheduling and deadlines.
Education
  • Bachelor's Degree in Accounting, Business Administration, or related field.
  • Master's Degree in Accounting, Finance, Business Administration, or related field.
Special Instructions to Candidates
  • Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities.
  • Please view Equal Employment Opportunity Posters provided by OFCCP here.
  • The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR 60-1.35(c)
  • Reasonable accommodation may be made to assist individuals with disabilities to complete the online application process. Please contact our Human Resources Department at [redacted] or by e-mail at [redacted].

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