Senior Internal Auditor

Summary - Responsible for assisting Internal Audit management as directed and conducting financial and operational audits for the Bank.  Responsible for performing routine daily tasks and participates in department projects by performing the following duties:

Duties and Responsibilities

• Researches applicable laws and regulations related to the audit project to understand the risks associated with the line of business.
• Completes assigned audit workpapers with sufficient documentation of testing to support the conclusion regarding the effectiveness of the control.
• Identifies missing internal controls over financial reporting (ICFR) and operational internal controls.
• When control weaknesses are identified, drafts findings for management and the Audit Committee to summarize the weakness, the underlying cause, and a recommendation for corrective action to modify the existing process to prevent future occurrences.
• Manages assigned audit workpapers to ensure completion by established deadlines.
• Tracks and reports time spent on audit projects and non-audit activities, at least on a weekly basis.
• Provides input to Internal Audit management on emerging operational, legal, and regulatory risks.
• May be asked to present the findings they have identified at the exit meetings.
• Assists Internal Audit management with special projects as requested.
• Performs quarterly audits of selected employee expense reports to ensure compliance with Bank expense policy.
• Meets requirements to maintain internal audit related professional certifications.
• Respects and maintains the confidential and proprietary nature of information obtained in the performance of audit procedures.
• Provides expertise to less experienced auditors on assigned audit projects.
• Manages assigned audit projects to ensure completion by established deadlines.
• May lead discussion of findings identified during the exit meetings on assigned projects.
• Responsible for ensuring timely responses to audit findings from line management.
• Works with management on the resolution of audit findings.
• Provides line management periodic audit projects updates.
• Reviews workpapers completed by other Internal Audit staff.
• Assists Internal Audit management with feedback on performance of assigned Internal Audit staff.
• Provides Internal Audit management with recommendations on training needs for less experienced staff.
• Consults with lines of business regarding controls for new processes, products, or services.

Supervisory Responsibilities

May directly supervise Staff Auditors.  Carries out supervisory responsibilities in accordance with the organization's policies and applicable laws.  Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.

Competencies

To perform the job successfully, an individual should demonstrate the following competencies:

Organizational Support – Follows policies and procedures; Supports organization’s goals and values.

Teamwork – Balances team and individual responsibilities; Contributes to building a positive team spirit; Puts success of team above own interests.

Analytical and Design – Collects and researches data; Uses intuition and experience to complement data; Uses feedback to modify designs; Demonstrates attention to detail.

Problem Solving – Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Works well in group problem solving situations.

Oral and Written Communication – Listens and asks for clarification; Responds well to questions; Writes clearly and informatively; Presents numerical data effectively; Able to read and interpret written information.

Attention to Detail – Ensures information is complete and accurate; Follows up with their own work or that of others to ensure that commitments have been fulfilled. This means monitoring and checking work or information, while organizing time and resources efficiently.

Adaptability and Initiative – Adapts to changes in the work environment; Manages competing demands; Asks for and offers help when needed.

Interpersonal Skills/Customer Service – Maintains confidentiality; Remains open to others' ideas and tries new things; Responds promptly to customer needs; Meets commitments.

Professionalism – Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibility for own actions.