Senior Compliance Auditor

2 weeks ago

Leominster, Massachusetts, United States Fidelity Co-Operative Bank Full time
Job Overview

The Lead Financial Auditor is responsible for independently orchestrating and executing a range of intricate financial, operational, and compliance audits in alignment with Internal Audit Standards and the established objectives, policies, and procedures of Fidelity Co-Operative Bank, as well as relevant Federal and State regulations. This role also includes directing and overseeing the Audit Department in the absence of the Chief Auditor.

Key Responsibilities:

Operations and Team Leadership

  1. Facilitates the planning and coordination of daily departmental activities.
  2. Oversees Audit Interns and departmental staff as necessary, conducting performance evaluations when applicable and providing training and guidance.
  3. Offers insights and recommendations concerning management's goals and objectives.
  4. Participates in various committees and task forces as required.
  5. Independently conducts audits in complex areas throughout the organization.

Internal Audit Framework

  1. Contributes to the development, management, and execution of a comprehensive risk methodology to support the Internal Audit Program.
  2. Assists in the planning, organization, and implementation of the Internal Audit Program, creating audit plans and programs to effectively evaluate the Bank's financial data, internal controls, records, and systems.
  3. Reports directly to the Chief Auditor and, in their absence, communicates with the Board of Trustees' Auditing Committee Chairman.
  4. Delivers audit findings and assessments to the Director of Audit through both verbal and formal written reports for presentation to appropriate Bank management and the Audit Committee.
  5. Ensures all audit activities comply with Internal Auditing Standards.
  6. Supports the Chief Auditor in liaising with the Board of Trustees' Auditing Committee as needed.
  7. Monitors auditing standards across all departments, recommending updates to internal audit work programs as necessary, and adjusts the audit program and schedule to address identified risks.
  8. Maintains a thorough understanding of industry trends and regulatory compliance developments in system auditing and control techniques, attending relevant seminars and workshops, and suggesting procedural changes as required.

Consultative Audit Services

  1. Advises and collaborates with Bank Management on all aspects of the COSO internal control integrated framework, assisting the Director of Audit in advising the Audit Committee and Senior Management on COSO and FDICIA control requirements.
  2. Provides assistance and direction to external auditors and regulatory examiners.
  3. Guides various banking departments in implementing policies and procedures to ensure robust internal controls, regulatory compliance, and optimal system capabilities, while also aiding in issue resolution.
  4. May assist in conducting due diligence investigations for audit consultants on behalf of the Audit Committee and Senior Management.

Audit Committee Support

  1. Assists the Chief Auditor in organizing Audit Committee-related seminars for Board Members.
  2. Helps develop and deliver training materials and programs for Audit Committee members as requested.

Special Initiatives

  1. Supports the Chief Auditor with special investigations for senior management and the Audit Committee.
  2. Assists in the evaluation and selection of technology systems and procedures for new strategic initiatives to ensure compliance with internal audit requirements.

Risk Assessment and Management

  1. The Internal Audit Program is grounded in a risk methodology that identifies risk levels within the bank. The Lead Financial Auditor will aid in developing and annually updating this methodology and assist in its implementation, ensuring that higher-risk areas are audited more frequently.
  2. All risk elements within categories for each bank area/function must be assessed and scored at least annually, with a risk matrix utilized for each departmental process. The Internal Audit department evaluates enterprise risk management across various categories, independently assessing each risk.

Qualifications:

  • A Bachelor's degree in business administration, finance, accounting, or related fields is required; a Master's degree is preferred.
  • Professional certifications such as CPA, CBA (Certified Bank Auditor), or CIA (Certified Internal Auditor) are required.

Skills and Competencies:

  • A minimum of 8 years of relevant audit experience within the banking or credit union sector, with demonstrated capability in managing complex audit assignments.
  • Strong analytical skills coupled with excellent written and verbal communication abilities.
  • Comprehensive understanding of risk identification and exposure.
  • Ability to work autonomously and exercise sound professional judgment.
  • Extensive knowledge of the banking industry.
  • Ability to effectively communicate with Audit Committee Board members regarding audit findings and associated risks.
  • A tactful approach to balancing audit results with risk considerations during management exit meetings.
  • Proficient problem-solving skills and the ability to recommend immediate actions; adept at multitasking.
  • Experience in coaching and mentoring management in implementing well-documented internal control matrices.
  • Awareness of cybersecurity measures to safeguard the digital environment of the Bank and its customers.
  • Familiarity with information technology systems, including security protocols for LAN/WAN, Internet, and firewall configurations.
  • Strong proficiency in Microsoft Word and Excel, with the ability to quickly master Methodware.
  • Advanced knowledge of Federal and State banking regulations.
  • Deep understanding of risk management and internal control principles.
  • Proven ability to manage multiple audits/projects concurrently.
  • Demonstrated discretion in handling confidential matters.
  • Flexibility and collaborative spirit when working with peers, Senior Management, external auditors, and regulatory examiners.

Fidelity Co-Operative Bank is committed to offering a competitive compensation and benefits package, including health, dental, vision, life insurance, and immediate participation in a 401(k) plan.

Fidelity Co-Operative Bank is an equal opportunity employer.

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