Auditor, Sr

2 months ago

Dallas, United States Hilltop Holdings Full time
Job Description

Hilltop Holdings is looking to hire a Sr. Auditor.

The Sr. Auditor organizes, plans, and conducts financial and operational internal audits and Sarbanes-Oxley testing. Develops and executes comprehensive audit programs that are responsive to the operational and financial risks across corporate activities, primarily those relating to HilltopSecurities. In addition, prepares annual risk assessments and assesses internal controls, operations, and administrative functions for efficiency and effectiveness. Reviews applicable federal regulations and internal policies and procedures (P&P), and reviews compliance with all aspects of P&P in assigned audit areas.

Responsibilities

  • Perform all phases of assigned audit engagement including planning, fieldwork and reporting in accordance with the HTH Internal Audit Policies and Procedures.
  • Obtain and analyze audit evidence as a basis for an informed, objective, and independent opinion on the adequacy, effectiveness, and efficiency of the overall control and compliance system being reviewed.
  • Discuss draft issue observations with all key stakeholders and evaluate the appropriateness of the management action plan prior to finalizing the audit report.
  • Prepare, communicate, and distribute the audit report to management and senior executives.
  • Monitor and review issue validation testing to ensure timely management follow up to findings.
  • Work with and assist external auditors or regulators as requested to expedite their exams and audits.
  • Assure the adequacy and effectiveness of controls and compliance efforts in specialized environments such as Capital Markets, BSA/AML, Structured Finance, etc.
  • Review compliance with regulatory requirements as applicable.
  • Actively seek and maintain professional certifications (see below).
  • Willingness to travel up 10%.
  • Other duties as required.
Qualifications
  • Must be eligible to work in the U.S. without sponsorship now or in the future.
  • Must be able to commute to Hilltop Securities Tower @ 717 Harwood Street, Dallas, without the need for relocation assistance.
  • Bachelor's degree in Accounting, Business, or related field required. Master's degree in Accounting or Finance preferred.
  • 3+ years of previous experience in public accounting or internal audit.
  • Certifications desired: Certified Public Accountant and/or Certified Internal Auditor (other certifications will be evaluated for applicability to job duties). Must be willing to meet department certification requirements and must maintain certifications.
  • Must demonstrate commitment to Continuing Professional Education in order to maintain certifications as necessary.
  • Excellent written and verbal communication and interpersonal skills.
  • Excellent PC skills, including word processing and spreadsheets, with adaptability to specialized programs for risk management and others in use by HTH Internal Audit.
  • Excellent analytical skills and attention to detail.
  • Financial Services industry experience a plus.


About Us

Founded in 1998 and headquartered in Dallas, Texas, Hilltop Holdings offers a diverse range of financial services through its three primary subsidiaries, PlainsCapital Bank, PrimeLending, and HilltopSecurities. PlainsCapital Bank is a leading commercial bank with locations throughout Texas. PrimeLending is a national mortgage provider focused on purchase mortgage originations. HilltopSecurities provides financial advisory, clearing, retail brokerage, and other investment banking services. Hilltop Holdings seeks to build the premier Texas-based diversified financial services holding company through acquisitions and organic growth. To learn more, please visit www.hilltop-holdings.com.

About the Team

Hilltop Holdings' Internal Audit department provides independent and objective consulting to evaluate the effectiveness of the internal controls of Hilltop and its operating companies-PlainsCapital Bank, PrimeLending, and HilltopSecurities. We apply a systematic and disciplined approach to evaluate and improve the organization's risk management, internal control, and governance processes. As a member of the Internal Audit department, you will join a team of professionals devoted to working together and helping each other succeed. Our team members have an average of almost 10 years of audit experience and are passionate about the key role we play in our organization's success. We have a close, collaborative relationship with management across our family of companies. This enables us to consistently produce high quality work with high customer satisfaction. Along with a commitment to quality and continuous improvement of our audit methodology, Hilltop's Internal Audit department is distinguished by its strong belief in helping one another succeed and always doing what's right.

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