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Senior Auditor, Internal Control Specialist

2 months ago

Santa Ana, California, United States Banc of California Full time

Position Overview:

Banc of California, Inc. (NYSE: BANC) stands as a prominent bank holding entity based in Los Angeles, operating through its wholly-owned banking subsidiary, Banc of California. This institution is recognized as one of the nation's leading relationship-driven business banks, dedicated to delivering comprehensive banking and treasury management solutions tailored for small to middle-market enterprises and venture-backed organizations. With over 70 full-service branches across California, as well as locations in Denver, Colorado, and Durham, North Carolina, Banc of California also provides an extensive array of loan and deposit services, alongside advanced payment processing solutions via its subsidiary, Deepstack Technologies. The bank is deeply committed to enhancing its local communities by supporting initiatives that promote financial literacy, job training, small business assistance, affordable housing, and more.

Job Summary:

The Senior Internal Auditor will report directly to the SVP, Internal Audit Director. This role is pivotal in facilitating various audit engagements to ensure the successful execution of the Internal Audit plan. The Senior Internal Auditor will conduct testing and pinpoint opportunities to enhance internal controls and mitigate potential risks.

Key Responsibilities:

  • Oversee the tracking, monitoring, and management of all open and closed issues/recommendations within the internal audit software.
  • Conduct follow-ups on issues with Process Owners, including transactional testing where applicable, to confirm that items are adequately remediated and closed.
  • Prepare periodic reports detailing the status of open and closed issues/recommendations as requested by the IA Manager, CAE, Senior Management, or Audit Committee.
  • Execute audits or fieldwork independently or in collaboration with the Outsourced Partner (OP).
  • Compile work papers for each audit or follow-up, clearly outlining the scope of work performed, sampling methods, results of testing, and any identified control or compliance deficiencies, retaining all supporting documentation as per approved methods.
  • Submit written audit reports to the OP and/or IA Manager and/or CAE upon completion of audits, providing management with recommendations for control improvements.
  • Prioritize daily tasks and prepare routine project status reports.
  • Perform additional duties as assigned.
  • Maintain independence and objectivity in all audit-related activities.

Qualifications:

  • Broad application of principles, theories, and concepts in internal auditing standards; a solid understanding of relevant disciplines.
  • Experience in project management and the ability to collaborate effectively within a team.
  • Strong verbal and written communication skills.
  • Excellent analytical and organizational abilities.
  • Proficient in PC applications (MS Excel, Word, and PowerPoint) with a general understanding of data analysis techniques.
  • Commitment to ongoing professional development through relevant continuing education programs.
  • Bachelor's degree from an accredited institution or equivalent experience.
  • A minimum of three years of proven experience in auditing within the financial services sector.
  • Preferred: Two or more years of internal audit experience in commercial banking.
  • Certifications such as Certified Public Accountant (CPA), Certified Internal Auditor (CIA), or Certified Information Systems Auditor (CISA) are advantageous.

Salary Range: $76,000.00 USD; Final salary will be determined based on the applicant's education, experience, knowledge, skills, and abilities, as well as internal equity and market alignment.