Auditor Sr- Risk Mgmt
JOB SUMMARY The Senior Auditor will conduct audits ranging from simple to complex; generate work papers based on testing of audit procedures established during the planning phase of the audit process; effectively communicate findings; and follow-up on outstanding audit and regulatory issues.
ESSENTIAL FUNCTIONS Effectively analyzes and assesses risk to develop audit procedures, execute test procedures, and conclude on the operating effectiveness of relevant controls.
Plans the audit engagement by documenting the planning process in the Planning Memorandum.
Effectively leads interviews/meetings to ensure relevant information is obtained for analysis.
Works independently to execute audit procedures, and updates the Audit Manager at appropriate times (g.
, weekly status of audit control testing, scope changes, identification of potential issues, etc.
).
Performs an appropriate level of testing based on the scope and risk, without over- or under-auditing Produces work paper documentation that is clear and concise, provides adequate detail of work performed and conclusions reached, meets IAD and professional standards, requires minimal revisions/review notes, and is sufficient to receive a satisfactory rating from external reviewers, i.
e.
, KPMG, FRB, FDIC, NYS.
Proposes solutions and recommendations to the Audit Manager and/or Audit Director when obstacles or problems are encountered throughout the audit.
Proposes and identifies opportunities for continuous auditing.
Runs continuous auditing query and reviews results for potential findings.
Manages time (by keeping abreast of audit status and hours incurred) to meet established deadlines, milestones, and time budgets.
Is responsive to client requests, and fosters positive working relationships with auditees and the audit team.
Supervises, as assigned, the performance and completion of the audit procedures to provide assurance that work was performed effectively and relevant control weaknesses were identified and reported.
Identifies control issues and findings timely, and ensures findings are based on relevant facts and are accurately characterized (based on risk).
Documents control findings in observation forms timely using the standard format (issue, background, findings, root cause, risk effect, recommendation).
Clearly communicates control findings to audit clients as they are identified, and works with clients to develop effective agreed upon actions with related timeframes for completion.
Shares IA process and business area knowledge with team members.
Fosters a team environment, is inclusive and works well with others.
May provide support, such as coaching, mentoring, training, etc.
to help other team members.
MAY ALSO BE REQUIRED TO:
Conduct periodic on-site branch audits according to an established audit schedule.
Identify and document risks and controls.
Communicate branch audit findings to Audit Manager and/or Audit Director, branch management and regional management.
Identify and suggest solutions, develop findings and recommendations for drafting of audit reports.
Performs special projects, and additional duties and responsibilities as required.
Where applicable and when performing the responsibilities of the job, employees are accountable to maintain Sarbanes-Oxley compliance and adhere to internal control policies and procedures.
EDUCATION AND EXPERIENCE Bachelor's degree in Accounting or Finance.
CPA and/or CIA preferred, or currently in process.
Four to ten years audit experience in Financial Services Industry and/or large public accounting firm(s); preferably community banking.
KNOWLEDGE, SKILLS AND ABILITIES Broad knowledge of banking, accounting, and internal controls and the ability to apply knowledge in an audit function.
Knowledge of consumer regulatory compliance requirements.
Proficient in the use of Microsoft Excel and Word.
Solid verbal, written and interpersonal communication skills.
Solid analytical skills.
Ability to travel.
Ability to work with all levels of staff and Management.
Ability to handle multiple tasks simultaneously and meet established deadlines.
Recommended Skills Analytical Auditing Coaching And Mentoring Finance Financial Management Interpersonal Communications Apply to this job.
Think you're the perfect candidate? Apply on company site Estimated Salary: $20 to $28 per hour based on qualifications.
ESSENTIAL FUNCTIONS Effectively analyzes and assesses risk to develop audit procedures, execute test procedures, and conclude on the operating effectiveness of relevant controls.
Plans the audit engagement by documenting the planning process in the Planning Memorandum.
Effectively leads interviews/meetings to ensure relevant information is obtained for analysis.
Works independently to execute audit procedures, and updates the Audit Manager at appropriate times (g.
, weekly status of audit control testing, scope changes, identification of potential issues, etc.
).
Performs an appropriate level of testing based on the scope and risk, without over- or under-auditing Produces work paper documentation that is clear and concise, provides adequate detail of work performed and conclusions reached, meets IAD and professional standards, requires minimal revisions/review notes, and is sufficient to receive a satisfactory rating from external reviewers, i.
e.
, KPMG, FRB, FDIC, NYS.
Proposes solutions and recommendations to the Audit Manager and/or Audit Director when obstacles or problems are encountered throughout the audit.
Proposes and identifies opportunities for continuous auditing.
Runs continuous auditing query and reviews results for potential findings.
Manages time (by keeping abreast of audit status and hours incurred) to meet established deadlines, milestones, and time budgets.
Is responsive to client requests, and fosters positive working relationships with auditees and the audit team.
Supervises, as assigned, the performance and completion of the audit procedures to provide assurance that work was performed effectively and relevant control weaknesses were identified and reported.
Identifies control issues and findings timely, and ensures findings are based on relevant facts and are accurately characterized (based on risk).
Documents control findings in observation forms timely using the standard format (issue, background, findings, root cause, risk effect, recommendation).
Clearly communicates control findings to audit clients as they are identified, and works with clients to develop effective agreed upon actions with related timeframes for completion.
Shares IA process and business area knowledge with team members.
Fosters a team environment, is inclusive and works well with others.
May provide support, such as coaching, mentoring, training, etc.
to help other team members.
MAY ALSO BE REQUIRED TO:
Conduct periodic on-site branch audits according to an established audit schedule.
Identify and document risks and controls.
Communicate branch audit findings to Audit Manager and/or Audit Director, branch management and regional management.
Identify and suggest solutions, develop findings and recommendations for drafting of audit reports.
Performs special projects, and additional duties and responsibilities as required.
Where applicable and when performing the responsibilities of the job, employees are accountable to maintain Sarbanes-Oxley compliance and adhere to internal control policies and procedures.
EDUCATION AND EXPERIENCE Bachelor's degree in Accounting or Finance.
CPA and/or CIA preferred, or currently in process.
Four to ten years audit experience in Financial Services Industry and/or large public accounting firm(s); preferably community banking.
KNOWLEDGE, SKILLS AND ABILITIES Broad knowledge of banking, accounting, and internal controls and the ability to apply knowledge in an audit function.
Knowledge of consumer regulatory compliance requirements.
Proficient in the use of Microsoft Excel and Word.
Solid verbal, written and interpersonal communication skills.
Solid analytical skills.
Ability to travel.
Ability to work with all levels of staff and Management.
Ability to handle multiple tasks simultaneously and meet established deadlines.
Recommended Skills Analytical Auditing Coaching And Mentoring Finance Financial Management Interpersonal Communications Apply to this job.
Think you're the perfect candidate? Apply on company site Estimated Salary: $20 to $28 per hour based on qualifications.
|
|
 | |
