Job Summary:

Under general direction, uses extensive knowledge and skills obtained through education and experience to conduct comprehensive audits and develop risk profiles of assigned processes within a functional area. Leads the work of others to conduct audits with smaller scope and complexity. Participates in large or multiple audit projects with significant scope and impact. Works independently on difficult assignments that are broad in nature, and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Recommends process improvements for internal audit processes and procedures in order to improve internal controls. Results are evaluated at agreed upon milestones for effectiveness in achieving specified results. Maintains extensive contact with internal customers and management to identify, research, analyze and resolve complex issues.

Essential Duties and Responsibilities:

• Understanding of audit practices and methodologies, including risk assessment internal control concepts.
• Experience in managing projects against deadlines, as well as experience with annual audit plans.
• Specific subject matter expertise regarding control disciplines.
• Understanding of financial services products and services, especially those associated with assigned area.

. Leading, planning, organizing and conducting audits, including assigning tasks, reviewing work of others, and monitoring timely completion of tasks against established deadlines and budgeted time.

• Excellent verbal and written communication skills, with the ability to present complex and sensitive issues to management in a clear, concise, and articulate manner.

• Plan, coordinate, and execute all phases of SOX, including scheduling and assigning tasks to staff, establishing and monitoring completion deadlines, reviewing work performed, and providing coaching and support to staff.

• Perform walkthroughs and testing, and monitor controls deficiencies, as needed.
• Enthusiastic, self-motivated, effective under pressure, and willing to take personal risk and accountability.
• Strong interpersonal skills to interface with all levels of internal and external audit associates and management.
• Proven ability to build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.
• Proven ability to multitask as well as assess changing priorities.
• Ability to analyze risk and proactively identify discrepancies.
• Ability to work well individually and in teams to share information and support one another.
• Testing key controls within business processes.
• Preparing written reports and delivering oral presentations.

Qualifications

Qualifications:

Knowledge of

• Audit practices and methodologies, including risk assessment internal control concepts.
• Control disciplines (expert level).
• Financial services products and services, especially those associated with assigned area.

Skill in

• Managing projects against deadlines, including annual audit plans.
• Planning, organizing and conducting audits.
• Testing key controls within business processes.
• Preparing written reports and delivering oral presentations.

Ability to

• Planning, organizing and conducting audits.
• Present complex and sensitive issues to management in a persuasive manner.
• Demonstrate enthusiasm, self-motivation, and effectiveness under pressure, and willingness to take personal risk and accountability.
• Interface with all levels of internal and external audit associates and management.
• Build strong relationships with key stakeholders, desire to learn quickly, to be flexible and think strategically.
• Multitask as well as assess changing priorities.
• Analyze risk and proactively identify discrepancies.
• Work well individually and in teams to share information and support one another.

Educational/Previous Experience Requirements:

• Bachelor’s Degree in Business Administration, Accounting, Finance or related field with a minimum of six (6) years of experience in the financial services industry.

~or~

• Any equivalent combination of experience, education, and/or training as approved by Human Resources.
• Experience with leading, planning, and performing risk-based financial, operational, and SOX audits.

Licenses/Certifications:

• CIA, CFSA, or CPA Auditing Certification(s) preferred