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Director Internal Audit

2 months ago

Kansas City, United States National Advisors Trust Company Full time
Are you looking to make a significant impact in the financial services industry?

If so, then a leadership role in estate planning and trust services could be right for you. At their core, we believe trusts are about families and the selfless pursuit of acting today to protect future generations - ultimately creating enduring value and legacies. As a leader, that gives you the unique opportunity to have a positive impact on the lives of families and to make a lasting mark on the industry - for today and tomorrow.

Why join us?We are redefining the trust services industry - and are looking for experienced individuals who want to help lead the way. We are a dynamic, collegial, and evolving culture that invests in top talent and rewards collaboration, curiosity and innovation. As a leader, you will guide an in-house team with deep expertise, decades of experience, and a commitment to shaping what's next for advisors, families, and our industry. By joining National Advisors, as Director of Internal Audit you will be at the heart of our operations, working with diverse teams to ensure compliance and improve processes.

POSITION SUMMARY

The Director of Internal Audit (DIA) is responsible for managing and implementing the internal audit program which is the company's primary mechanism for assessing controls, operations, and performing whatever work necessary to allow the board and senior management to accurately attest to the adequacy of the bank's internal control system. The Director of Internal Audit serves as an independent, objective, consultative resource designed to add value, improve internal controls, assure adherence to the internal control system, and enhance to financial strength of National Advisors Holdings, Inc. and its affiliates through the internal audit process. The DIA works closely with the Board Audit and Risk Committee chair and Board of Directors as well as senior management to perform critical internal audit functions.

PRIMARY ACCOUNTABILITIES

Risk Assessments and Framework
  • Meet the standards set forth in the OCC's existing safety and soundness regulations.
  • Ensure that the bank's risk governance framework complies with the risk governance guidelines and is appropriate for the size, complexity, and risk profile of the bank.
  • Maintain a compete and current inventory (i.e., the "internal audit universe" of all the bank's material processes, product line, services, and functions, and assess the risks, including emerging risks, associated with each, which collectively provide a basis for the audit plan.
  • Establish and adhere to processes for independently assessing the design and ongoing effectiveness of the risk governance framework on at least an annual basis.
  • Reduces enterprise risk, protects firm and client assets by ensuring compliance with applicable regulations, key policies, and internal control procedures.
  • Challenge existing policies and procedures to ensure they are being performed efficiently and in accordance with organizational objectives.
Audit Program

Design and implement a three-year risk-based audit plan, obtain Audit and Risk Committee approval for such plan, and execute the plan to ensure business activities are performed in accordance with governing law, internal policies, and sound business practices.
  • Rate the risks presented by each first line unit, product line, service, and function, including activities that the bank may outsource to a third party.
  • Ensure adequate capacity is available to complete all scheduled audits. Work with management to engage third-party auditors to conduct audits when internal audit capacity is not available.
  • Prepare Requests for Proposal and lead the evaluation and selection process for third-party auditors.
  • Establish and adhere to an audit plan that is periodically reviewed and updated that incorporates the bank's risk profile, emerging risks, and issues, and establishes the frequency with which activities should be audited.
  • Conduct independent and objective evaluation and testing of the bank's overall internal control system, such as operational and administrative controls.
  • Along with the Controller, serves as the primary contact and project manager for the annual external audit.
  • Serve as the primary contact can project manager for the annual Service Organization Control report project.
  • Provide audit assurance over the safeguarding and proper recording of the bank's assets.
  • Determine compliance with laws, regulations, and policies, procedures and processes established by front line units and independent risk management under the risk governance framework.
  • Conduct ongoing monitoring to identify emerging risks and ensure that units, product lines, services, and functions that receive a low-risk rating are re-evaluated with reasonable frequency.
  • Report in writing conclusions, material issues and recommendations from audit work carried out under the audit plan to the board's Audit and Risk Committee.
  • Report discrepancies in IA's risk ratings and first line units and independent risk management risk ratings to the Audit and Risk Committee.
  • Communicate significant changes to the audit plan to the board's Audit and Risk Committee.
  • Accomplish objectives by bringing a planned, systematic, disciplined approach to evaluating and improving the effectiveness of the administrative process pertinent to best practices, efficiency, risk management, internal control, and governance.
  • Perform periodic comprehensive reviews of third-party provider due diligence and risk management information.
  • Monitor the ethics and fraud hotline reporting.
Operational Excellence
  • Assess whether practices are compliant with policies, state, and federal guidelines, as well as best practices for the industry. Report deficiencies to management in a timely manner.
  • Comply with all National Advisors Trust policies and best practices.
  • Recommend process improvements and identify innovation opportunities to management.
  • Influence the due diligence process for providers, advisor firms, and third parties.
  • Support strategic outsourcing risk management practices.
Relationship Management
  • Interact with all employees, management, executives, and other auditors and regulatory examiners.
  • Establish and ensure collaborative, supporting relationships throughout the organization, maintaining an independent mindset.
  • Interact with the Audit and Risk Committee Chair, Committee members, and Board of Directors
  • Establish and ensure favorable, supporting relationships with all existing clients and customers, as well as outside regulatory agencies and other related key resources.
  • Ensure the ongoing development of a favorable reputation for the National Advisors Holdings, Inc. organization within all communities served.
  • Identify and communicate to the board's Audit and Risk Committee significant instances where front line units or independent risk management are not adhering to the risk governance framework.
  • Consult with senior management regarding strategic decisions and impacts on control environment.
Leadership
  • Serve on the Enterprise Risk Committee as the person responsible for the third line of defense of the Enterprise Risk Management Program.
  • Advise the Incident Response Team.
  • Work closely with the Chief Compliance Officer, Chief Risk Executive, and Director of Information Technology, as well as the Senior Management Team.
  • Support and uphold the values, mission, and policies of the organization.
  • Enforce the policies of the company and its affiliates.
  • Promote a corporate culture of risk identification, mitigation, and management.
  • Attend risk management conferences and industry forums as a representative of National Advisors.
  • Contribute to the development of the annual business plan.
  • Compliance with BSA/AML/OFAC-related laws and regulations as it applies within the scope of this position, including but not limited to, prompt completion of required BSA/AML/OFAC training.
ESSENTIAL FUNCTIONS/ KEY COMPETENCIES
  • Performs audits of an advanced type requiring expertise, discretion, and judgment across all functions of the organization as assigned with limited supervision, evaluating control design and effectiveness, compliance with regulations and company policies, and identifies process efficiencies.
  • Analyze and compile audit findings. Prepare reports of findings and recommendations for improvement in controls and efficiency. Follow up with management to ensure responses to findings have been appropriately implemented.
  • Contributes to the evaluation, follow-up, and remediation of open audit issues during quarterly follow-up.
  • Performs routine duties independently; discusses or seeks approval on complex matters with the next supervisory level.
  • Participates in the advising of appropriate auditee(s) on the implications of control issues identified during the audit.

We're inspired by our company values, committed to diversity, equity, and inclusion, and strive to create a positive, purposeful and productive environment where everyone can thrive.

Overview

National Advisors Trust (National Advisors Trust Company (NATC) and National Advisors Trust of South Dakota, Inc. (NATSD), regulated subsidiaries of National Advisors Holdings (NAH), is one of the largest advisor-friendly trust companies in the United States, holding approximately $8 billion in assets under administration. As non-depository trust companies, NATC and NATSD provide trust administration and custody services to its clients. Founded in 2001 on the concept that allowed trusted advisors to cultivate and maintain crucial client relationships while still providing conflict-free trust administrative services, NATC is headquartered in Kansas City, Missouri and has clients and end-clients across the country. NATSD was formed in 2013 and maintains an office in Sioux Falls, South Dakota. NATSD has $352.88 million in assets under administration.

National Advisors Trust Company is non-depository trust company with a National Association charter and is regulated by the Office of the Comptroller of the Currency (OCC). National Advisors Trust of South Dakota, Inc. (NATSD) is a state-charted trust company, providing trust services and solutions to registered investment advisors (RIAs) and their high net worth and ultra-high net worth clients who are taking advantage of South Dakota's unique trust jurisdiction opportunities for protecting and preserving wealth. South Dakota's trust benefits include: 1) no state income tax; 2) dynastic trusts: 3) asset protection; 4) directed trusts; and 5) some of the leading privacy rules in the nation. NATSD is regulated by the South Dakota Division of Banking.

Benefits: National Advisors offers a wide range of employee benefits including 401K with company match, medical, vision and dental healthcare plans, paid time off, professional growth and internal promotion opportunities due to continuous organizational growth.NAH offers a competitive salary.

Salary minimum $126,000

#NationalAdvisorsTrustCompany #CareerOpportunities

nationaladvisors.com

Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities

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)