Senior Financial Services Auditor

3 weeks ago

Miami, Florida, United States City National Bank Full time

Job Summary

The Senior Financial Services Auditor is responsible for conducting independent audits of all Bank activities to evaluate the adequacy and effectiveness of internal control systems and operating procedures.

This role involves appraising the fairness and reliability of financial records and information for internal management purposes, determining compliance with relevant laws, regulations, and internal policies, and evaluating procedures for safeguarding assets and preventing and detecting loss.

Additionally, the Senior Auditor promotes the quality and efficiency of ongoing operations by analyzing and recommending improvements.

This position requires the exercise of initiative, discretion, and independent judgment in handling significant matters affecting the Bank.

Key Responsibilities

  • Conducts comprehensive audits of all accounting records of the bank, including assets, liabilities, income, expenses, and related operations, following the audit program approved by the Audit Committee.
  • Plans the audit, performs walk-throughs, assesses risks and controls, executes fieldwork in accordance with generally accepted auditing standards, evaluates the adequacy of internal controls, and prepares detailed working papers to document findings and support conclusions.
  • Communicates audit findings and recommendations to senior management, stakeholders, and regulatory bodies, providing insights that drive improvements and ensure compliance with standards and regulations.
  • Develops and discusses Corrective Action Plans during the audit fieldwork with appropriate bank management, addressing areas for improvement and ensuring corrective measures are effectively implemented.
  • Drafts comprehensive audit reports detailing the scope, observations, management discussion items, enhancement opportunities, and Corrective Action Plans derived from the audit work performed, and engages with management at appropriate levels to discuss these findings.
  • Collaborates with Bank Examiners and External Auditors during their examinations and audits, ensuring alignment with regulatory expectations and providing necessary information and insights.
  • Develops and revises audit procedures and internal control questionnaires as required, adapting to changing regulatory requirements and operational needs.
  • May focus on specialized areas requiring advanced knowledge and training, such as regulatory compliance, securities regulations, capital markets, and fiduciary trust activities, bringing expert insight to these complex functions.

Requirements

  • 5-7 years experience in bank internal auditing, external auditing of financial institutions, or regulatory examination, with a thorough understanding of banking practices, principles, and the inter-relationships between banking functions, capital markets, and wealth management.
  • Requires skills in fact-finding, analysis, problem-solving and decision making.
  • Strong regulatory requirements and risk framework knowledge and other relevant guidelines governing credit, liquidity, interest rate and fiduciary risks.
  • Advanced PC skills including working knowledge of TeamMate, Word and Excel.
  • Experience in creating process documentation, developing audit plans, and performing audits.
  • Ability to plan, execute and evaluate audit test plans within a risk based audit methodology.
  • Knowledge of internal controls, financial terminology and bank documentation requirements.
  • Experience in assessing financial models and knowledge of testing effectiveness and recommending improvements.
  • Ability to communicate with various levels of staff and management.
  • Bachelor's Degree in Accounting, Business Administration, or related field. Master's Degree in Accounting, Finance, Business Administration, or related field. CIA, CPA, CISA, CIFRS, or other relevant audit or risk certification is required.

Equal Opportunity Employer

City National Bank is an equal opportunity employer and welcomes applications from diverse candidates. We are committed to creating an inclusive work environment that values diversity, equity, and inclusion.

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