Trust/SOX Audit Specialist, Audit, South Bend, IN
1 week ago
Responsible for evaluating and enhancing the effectiveness of governance, risk management, and internal control processes within a financial institution's trust/wealth management operations/investments/retirement plan services and other Sox 404 areas. This role ensures compliance with regulatory standards, identifies areas of risk, and provides actionable recommendations to improve operational efficiency and mitigate potential issues.
ESSENTIAL REQUIREMENTS
- Develops and implements comprehensive audit plans for trust/wealth management operations/investments/retirement plan services.
- Conducts risk assessments to prioritize high-risk areas for review.
- Performs detailed testing of processes, transactions, and systems to evaluate adherence to policies, procedures, and regulatory requirements.
- Identifies and assesses risks specific to trust services, including fiduciary risk, investment risk, and operational risk.
- Evaluates the adequacy and effectiveness of internal controls in mitigating identified risks.
- Performs audit trust work to include selecting audit samples and obtaining, analyzing and evaluating evidential matter to determine that the auditor's systems/processes are controlled, operate reliably and are in compliance with the policies and procedures established by Management.
- Prepares audit work papers documenting the procedures performed, documenting the results of audit tests and conclusions formed regarding the adequacy of internal controls testing and compliance with those controls.
- Prepares draft report including audit findings and recommendations for audits conducted.
- Performs follow-up procedures to monitor implementation and remediation plans.
- Partners with trust and compliance teams to address audit findings and foster a culture of accountability.
- Maintains professional relationships with external auditors and regulatory agencies as needed.
- Regular and predictable attendance is an essential requirement of the position.
- Responsible for the completion of all compliance training related to the position.
- Must understand all applicable laws and regulations that apply to the position and complies with the requirements.
Performs all other duties as assigned.
EXPERIENCE/SKILLS
- Minimum of three (3) to five (5) years of experience required, preferably within trust and wealth management/operations/investments/retirement plan services.
- Strong knowledge of financial regulations, fiduciary responsibilities, ERISA and risk management principles.
- Excellent analytical, problem-solving, and communication skills.
- Ability to work independently and collaboratively in a fast-paced environment.
EDUCATION
Bachelor's Degree required (in Accounting, Finance, Business Administration, or a related field).
CERTIFICATIONS
Certified Fiduciary & Investment Risk Specialist (CFIRS) required.
Certified Internal Auditor (CIA) or Certified Public Accountant (CPA) designation preferred.
TRAVEL REQUIREMENTS
Ability to travel as well as ability to travel over night, as needed for meetings, projects, seminars, etc.
PHYSICAL DEMANDS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals to perform the essential functions.
While performing the duties of this job, the employee is required to sit, stand and walk; use hands and fingers to operate keyboard and other office equipment; reach with hands and arms; and talk or hear. The employee is occasionally required to stoop or kneel. The employee may occasionally lift and/or move up to 10 pounds.
EQUIPMENT
MS Office PC, fax, phone and standard office equipment.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
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