Chief Internal Audit Officer

1 month ago

New York, United States PGMTEK Inc. Full time
Job Description
The Internal Audit function is responsible for independent, objective assurance, and advisory activity designed to improve operations by evaluating and improving the effectiveness of risk management, control, and governance processes. Also includes special and strategic business reviews. Specializes in reviewing the organization's financial and operational processes to ensure compliance and best practices.

Job Responsibilities -

  • The Internal Audit Officer is responsible for directing the Internal Audit function. The incumbent is responsible for setting the strategy of the function, directing internal audit employees, scheduling audits, maintaining audit policies & procedures, and serving as liaison with the firm's outside auditors and regulators.
  • Lead internal audit's annual risk assessment and planning process to develop the annual internal audit plan and ensure the plan is responsive to and aligned with the idiosyncratic risks of the company, regulatory expectations, and industry trends.
  • Oversee the implementation of the approved internal audit plan, ensure proper resourcing, and adjust the plan as needed in response to changes in the company's risk profile, operations, systems and controls. Keep senior management and the Board apprised of any changes needed to the internal audit plan.
  • Maintain and develop relationships internally to assist in the delivery of internal audit projects, communication of internal audit results.
  • Ensure methodical documentation of work plans, testing results, conclusions and recommendations.
  • Ensure comprehensive and timely follow-up and validation of open audit findings and associated corrective actions.
  • Manage the process to track, follow-up, and validate all open regulatory findings.
  • Produce clear and concise summaries, to inform internal stakeholders and the Board of progress against the annual internal audit plan, audit results, the status of open
  • and any past due recommendations and any other key information.
  • Perform company-wide risk assessments to identify key inherent risks and assess the quality of mitigating controls. Take into account the firm's compliance with the established policies and procedures, laws and regulations, and regulatory requirements.
  • Oversee, perform or provide technical assistance with investigations, special audits, and provide subject-matter expertise as needed.
  • Remain current on audit and regulatory oversight trends and develop a risk-based approach incorporated into the annual audit plan and the scope of each audit project.
  • Recommend company-wide training based on gaps identified to ensure adherence to the company's practices and policies.
  • Establish and assign departmental goals to team members and evaluate their performance.
  • In addition to internal audit resources, manage the external audit service provider in conducting internal audits that meet industry best practices and regulatory expectations.
Job Requirements -
  • A Bachelor's degree in a related field. Graduate degree a plus.
  • CFA, CIA, CPA/CA, FRM or similar professional certification is a plus.
  • Demonstrated ability to maintain a high degree of confidentiality in a variety of sensitive settings
  • Excellent organizational and time management skills with the ability to set own priorities to coordinate multiple assignments with fluctuating and time-sensitive deadlines.
  • Excellent communication skills; ability to effectively communicate information in a clear and understandable manner, both verbally and in writing. Ability to effectively communicate with Management, Regulators, Vendors in a clear and organized manner
  • Demonstrated ability to provide direction and supervise the work of others, including guiding, mentoring, and providing professional development opportunities.


Typical ital Years of Experience -

15 years plus of related work experience with at least 3-5 years as a Chief Audit Executive or equivalent.

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