Senior Internal Auditor
AP Professionals has partnered with a growing financial services company, searching for a Senior Internal Auditor. This position is responsible for conducting and reporting on scheduled audits, SOX 404 key control testing, investigations and departmental projects.
Assignments range throughout varying areas of the Company, including audits technical in nature, highly regulated (consumer compliance), fee based business, complex bank products or of non-bank subsidiaries.
- Develops appropriate audit procedures for the work programs to achieve audit objectives. Recommends changes and improvements to established work programs and audit testing approaches as appropriate.
- Promotes communication between management and auditors on process, audit finding and reasoning there of.
- Evaluates the design and operating effectiveness of the system of internal controls, adherence to established policies and procedures, and regulatory guidance and conducts test work as outlined in the audit work program. Utilizes judgment as to expansion of scope, further test work needed based on trends or exceptions identified. Prepares work paper documentation via software applications to support test work performed and conclusions reached. Explains, clarifies or corrects documentation to clear any review notes generated by the department supervisory staff or audit lead personnel’s review of the work papers, conclusions and recommendations.
- Discusses irregularities, exceptions, and deficiencies discovered during the audit with the area’s supervisory personnel.
- Provides information and supporting documentation for all issues uncovered as a result of the audit to prepare the preliminary exit sheets, which detail the level of risk, and proposed solutions to correct the existing issue and to prevent future occurrences. Leads exit meetings with management and other Internal Audit department supervisory staff to discuss proposed recommendations to come to agreeable solutions. Prepares written audit reports to summarize the audit scope, control findings, recommendations and management commitments.
- Adds outstanding issues to departmental tracking databases and spreadsheets and reviews and evaluates evidence as obtained from management to clear. Performs follow up testing as determined to be necessary.
- Develops and performs audits of technical nature, highly regulated, non-bank areas or of new products or systems as assigned. Performs research and interprets the area’s regulatory or operational requirements.
- Bachelors Degree - Accounting, Finance or related business curriculum with at least 12 hours in Accounting – required
- Bank and/or Public Audit Experience with one or more of the following areas of audit experience: Fee Based Business, Information Technology, Auditing complex bank products
- Audit experience at a large financial institution; Audit experience in Fee Based Business, Auditing complex bank products
- One (1) or more of the following: CPA, CIA, CFSA, or CCBIA – required; CPA preferred