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Audit Operations Supervisor

2 months ago

Raleigh, North Carolina, United States Bank & Investment Group Full time

Position Overview:
As an Audit Operations Supervisor, you will play a crucial role in supporting the Internal Audit Manager and Chief Audit Executive in the strategic planning and execution of operational, compliance, and financial audits. Your primary focus will be to assess the effectiveness of the financial institution's internal control systems and ensure adherence to relevant federal and state regulations, as well as generally accepted accounting principles (GAAP). You will also be responsible for providing actionable recommendations to enhance controls, operational processes, and system designs.


Key Responsibilities:
  • Design, oversee, and execute audits; assess internal control systems and operational functions; verify compliance with institutional policies, state and federal regulations, and GAAP.
  • Supervise a team of Internal Auditors, guiding daily activities to ensure successful completion of assigned audits while addressing any challenges faced by team members.
  • Assist Internal Audit Managers in coordinating audit-related activities, including management discussions, report preparation, and review of management responses.
  • Manage audits or projects that involve higher complexity and risk.
  • Conduct Quality Control Reviews of Audit Workpapers to ensure adherence to departmental procedures and standards.
  • Perform independent Quality Assurance Reviews of audits as requested by the Chief Audit Executive.
  • Support Internal Audit Managers in the training and mentoring of Internal Auditors.
  • Assist in preparations for Audit Committee meetings and regulatory examinations.
  • Engage in special reviews or projects as necessary.
  • Fulfill additional assignments or tasks as directed by management to help achieve the objectives of the Internal Audit Department.
  • Maintain ongoing training to ensure audit skills, business knowledge, and interpersonal skills remain current, fulfilling Continuing Professional Education requirements for certifications.
  • Comply with all applicable federal laws, rules, and regulations, including those related to Anti-Money Laundering (AML) and the Bank Secrecy Act (BSA).
  • Perform other duties as assigned.

Minimum Qualifications:
  • A minimum of four years of experience in internal auditing and/or public accounting.
  • A degree in Business Administration, Accounting, Finance, or a related field.
  • Familiarity with the Bank Secrecy Act (BSA).
  • Demonstrated initiative, reliability, and the ability to lead a team, with a commitment to understanding and adhering to bank policies and procedures.
  • Exemplary integrity, discretion, and strong work ethic.
  • Ability to engage with employees at all levels, as well as external stakeholders, with professionalism and confidence.
  • Strong analytical, time management, project management, and research skills.
  • Capability to produce precise work and assess the significance of deviations from established policies and regulations, providing recommendations for corrective actions.

Preferred Qualifications:
  • Professional certifications such as Certified Public Accountant, Certified Information Systems Auditor, or Certified Internal Auditor.
  • Proficiency in audit software.
  • Ability to work effectively both independently and within a team environment.
  • CAMS (Certified Anti-Money Laundering Specialist) Certification.
  • CRCM (Certified Regulatory Compliance Manager) Certification.

Physical Requirements:
  • Ability to communicate effectively through spoken and written means.
  • Occasional exertion of up to 10 pounds of force; primarily sedentary work.
  • Close visual acuity for tasks such as data analysis and document preparation.
  • Minimal exposure to adverse environmental conditions.
  • Physical demands outlined are representative of those required to successfully perform essential job functions; reasonable accommodations may be made for individuals with disabilities.

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Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities.