Senior Audit Associate

3 weeks ago

Rosemont, United States Fifth Third Full time

Make banking a Fifth Third better

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GENERAL FUNCTION: Fifth Third Bank's Audit Division is responsible for performing independent, objective assurance activities for the Bank's key business processes, products, services and technologies, as well as governance, oversight and monitoring functions of management and support functions. The Senior Audit Associate conducts end-to-end business process audits for various business/functional areas within the Capital Markets business, including areas such as operations; finance/accounting; development, implementation and ongoing delivery of products, processes and services; and/or review of the technology, infrastructure and/or governance related to the business processes. Audits are performed in a team environment under the guidance of the Audit Manager.

Responsibilities include developing and executing audit planning, fieldwork, reporting and wrap-up activities on each engagement in accordance with established standards. Individuals in this role may work as an individual contributor or start to lead engagements with 1-2 auditors.

Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues and ensure that actions and behaviors drive a positive customer experience. While operating within the Bank's risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.

ESSENTIAL DUTIES & RESPONSIBILITIES:

  • Ensure execution of all audit activities in the planning, testing, reporting and wrap up phases in compliance with the Audit Division's methodology /standards and within the timeframes to support department metrics:
  • Collaborate with Audit team members to plan audit projects, develop risk and control assessments, develop work programs and other deliverables of audit work.
  • Lead the audit team in documenting business processes and technology management processes related to the entity being audited. Execute testing of controls to assess adequacy of control design and operational effectiveness in managing risk.
  • Demonstrate and apply strong project management skills. Ensure accountability and high quality by directing daily progress of fieldwork, informing managers and clients of audit status, and supervising staff performance, when necessary.
  • Use knowledge of risk and control concepts and industry trends to identify control deficiencies and recommendation process improvement ideas. Lead audit issue follow-up activities.
  • Prepare audit report draft; ensuring that all areas of audit process and results have been addressed and documented in accordance with defined standards.
  • Communicate information to management through periodic update meetings, presentations, and internal audit reports.
  • Consistently ensure compliance with Fifth Third Audit methodology and work with team members to develop their understanding of the Audit Standards.
  • Establish, foster and maintain working relationships with peers and supervisory management within the business line and cross-functional lines to support an effective workflow and continuous communications. Deliver value to internal and external customer.
  • Assist in the identification and continuous monitoring of risks and other potential exposures to the Bancorp.
  • Drive your career by understanding performance expectations and requesting and acting upon feedback; establish and execute a Development Plan.
  • Develop line of business expertise and industry knowledge base to keep current on existing and emerging issues; apply this knowledge for the benefit of the Bank's risk-based audit program.
  • Participate in departmental processes and initiatives, including employee-focused processes that promote resource development. Assist management in continuous improvement of the audit function through special projects and process development activities.
  • Contributes to team effort by willingly sharing knowledge; being open to new ideas; applying knowledge in daily work; and building strong partnerships for learning and knowledge sharing.
  • Perform other duties as assigned.

SUPERVISORY RESPONSIBILITIES: Begin to lead and develop staff auditors to ensure optimal performance in meeting the Audit Division's goals and objectives. Assist in development of peers and staff by participating in mentoring and education programs that give employees exposure to audit processes, business knowledge, and technology.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

  • 2-3 years Fifth Third Audit or large public accounting firm experience; or 3-4 years of general industry audit experience required. Experience with capital markets or financial services preferred.
  • Bachelor's degree required. Disciplines in Accounting, Finance, Data Analytics, Technology or Business-related field, preferred.
  • CPA, CIA or other relevant certification preferred.
  • Proficient with MS-Windows and other related PC applications.
  • Excellent written and oral communication skills.
  • Demonstrates leadership, coaching and project management skills.
  • Ability to work within a team environment and maintain professional composure in a dynamic work environment. Must be able to adjust to multiple demands, shifting priorities, and rapid change.
  • Must be results and goal oriented, possess sound judgment and ability to apply logical/critical thought processes when developing business solutions.
  • Demonstrates ability to display a positive business presence and sound judgment with management and external personnel.
  • Must be able to maintain independence and objectivity in all aspects of position.

#LI-BP1

Senior Audit Associate - Capital Markets LOCATION -- Cincinnati, Ohio 45202

Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.

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