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Senior Auditor

2 months ago

Hicksville, New York, United States CFA Institute Full time
Position Title
Senior Auditor

Job Summary

The Senior Auditor will collaborate with the Lead Auditor and Audit Manager to prepare essential audit documentation related to various audit engagements. This includes drafting planning memorandums, preliminary discussion documents, audit programs, and final wrap-up reports within the assigned sector.

This role involves evaluating policies, procedures, and supporting processes to ensure adherence to regulatory standards. The Senior Auditor will utilize extensive knowledge to tackle complex assignments, overseeing and conducting audits as necessary.

Compensation Range:
$58,000 - $107,500.00

Key Responsibilities:
Audit Execution

Conduct fieldwork, manage data requests and analyses, and document audit testing and work papers in alignment with professional standards and internal methodologies.

Engage with management to review findings and facilitate discussions regarding the effectiveness of internal controls, ensuring compliance with internal policies, agency guidelines, and relevant regulations.

Investigate potential issues and propose enhancements to processes to mitigate risks.

Audit Planning & Reporting

Assist the department manager and designated personnel with the audit planning process, which includes drafting announcement memos, defining audit scope, organizing opening meetings, and assigning work papers under the guidance of the Lead/Senior Auditor.

Support coordination of audit communications throughout the process, including status updates and exit meetings.
Conduct wrap-up activities, including addressing review notes and aiding in the drafting of findings, observations, and audit reports.

Issue Resolution

Investigate issues and recommend improvements to policies or procedures as necessary.


Data Analytics

Collaborate with the Lead/Senior Auditor, management, and IT/data analytics teams to identify opportunities for data analytics, automation, and continuous monitoring.


ADDITIONAL ACCOUNTABILITIES
Engage in special projects and additional responsibilities as required.

Maintain strict adherence to regulatory and compliance policies relevant to the role and complete necessary compliance training.

Ensure compliance with applicable federal, state, and local laws and regulations.

JOB REQUIREMENTS
Required Qualifications:
Education:
Bachelor’s Degree in Accounting, Finance, or a related field.

A minimum of five years of experience focusing on one of the following audit areas: Financial Audits, Risk Management Audits, BSA Compliance, Corporate Services, Mortgage Lending, Retail Banking, or Commercial Lending.


Preferred Qualifications:
Professional certifications such as CIA, CRCM, CFE, CAMS, CPA, CRMA, or CICA are preferred.
Experience in financial services or other highly regulated industries is advantageous.

Job Competencies:
In-depth knowledge of banking, accounting, and internal controls, with the ability to apply this knowledge effectively in an audit context.
Familiarity with corporate operating policies and procedures, as well as federal and state regulations.
Proficiency in Microsoft Office applications.
Excellent interpersonal communication skills (both written and verbal).
Strong analytical and quantitative skills.
Exceptional organizational and critical thinking abilities.
Capability to mentor junior staff and collaborate effectively with various management levels.