Overview: The Senior Auditor plays an essential role within Internal Audit. This individual is highly self-motivated, a critical thinker, and able to adeptly pivot between consulting and risk-based assurance projects, while serving as a coach and mentor to our Internal Audit team members. We're always looking to innovate, and the Senior Auditor will be responsible for staying current on industry issues and applying creative solutions and leading practices to our work.
Responsibilities:
- Identify risk areas and play a key role in the development of audit and consulting engagement plans.
- Coordinate and facilitate risk assessment and planning for assigned audit and consulting projects, considering the work being done by other lines of defense.
- Plan, lead, and execute complex, high-risk/high-visibility assurance and consulting engagements across all Sammons Financial Group Companies in accordance with accepted professional standards.
- Determine the direction and scope of the proposed engagement and the procedures to be used in conducting the engagement.
- Create a plan of action for the engagement with Internal Audit management and the engagement client, including the budget and team assignments.
- Conduct interviews and obtain, analyze, and appraise evidentiary data as a basis for an informed objective opinion on the adequacy and effectiveness of policies and procedures, as well as the efficiency of performance of activities reviewed.
- Oversee the documentation of engagements. Evaluate organizational unit compliance with corporate policies, procedures, and management instructions.
- Prepare written reports for senior leadership and the Board of Directors and report findings orally to company leadership with recommendations for corrective actions to improve operations and reduce costs.
- Assess the adequacy of corrective action taken by leadership to remediate findings or other deficient conditions.
- Identify opportunities to use digital tools and automation to enhance engagement procedures.
- Evaluate projects in light of the organization’s strategic objectives and work with leaders to set appropriate timelines for the adoption of process improvements.
- Adhere to accepted audit and internal control frameworks (e.g., The Institute of Internal Auditors (IIA), Generally Accepted Accounting Principles (GAAP), The National Association of Insurance Commissioners (NAIC) Model Audit Rule, etc.) when executing internal audit assurance and consulting projects, internal control testing, and financial transaction testing in support of the external audit.
- Review the work of others for quality, accuracy, and relevancy and provide reasonable, actionable feedback.
- Direct, counsel, and instruct auditor team members to ensure approved engagement and business objectives are met while adding value to key partners and the Company.
- Serve as a subject matter expert in risk-based assurance and consulting engagements.
- Coach Internal Audit team members, offering advice and counsel by demonstrating the ability to lead, motivate, and empower team members to achieve results and achieve their potential.
- Support Audit Committee and Senior Staff reporting through preparation and review of engagement status and results materials.
Qualifications:
- Bachelor's Degree from an accredited college or university Required.
- 5-7 years full-time experience in internal audit, risk consulting, financial auditing, internal controls, public accounting, business analysis, or a related discipline Preferred.
- Expert knowledge of and skill in applying internal auditing and accounting principles and practices, and management principles and preferred business practices.
- Demonstrate thoughtful and innovative approaches to addressing challenges and opportunities, while exemplifying courage to speak up and empowerment to drive change within the workplace.
- Knowledge of the Standards for the Professional Practice of Internal Auditing and the Code of Ethics developed by the Institute of Internal Auditors.
- Knowledge of common insurance industry systems, internal controls, policies, procedures, regulations, and laws.
- Considerable skill in effective verbal and written communications, including active listening skills and skill in presenting findings and recommendations.
- Ability to establish and maintain harmonious working relationships with Internal Audit team members, internal clients, co-workers, and external contacts, and to work effectively in a professional team environment.
- Considerable ability to demonstrate leadership, action personal and team member feedback, effectively delegate tasks, and mentor team members.
- Considerable experience reviewing the results of others' work for quality, accuracy, and relevancy and providing reasonable, actionable feedback.
- Considerable skill in planning and project management, and in maintaining composure under pressure while meeting multiple deadlines.
- Skill in negotiating issues and resolving problems and the ability to resolve disagreements and conflict in a manner that builds relationships.
- Considerable experience with business process risk and control design, implementation, and assessment.
- Experience using digital and automation tools to enhance or redefine existing assessment procedures.
- Thorough knowledge and understanding of internal controls and audit frameworks.
- Knowledge of GAAP and statutory accounting principles.
- Skill in collecting and analyzing complex data, evaluating information and systems, and drawing logical conclusions.
- Knowledge of management information systems terminology, concepts, and practices, including Information Technology (IT) General Controls.
- Ability to identify industry trends and their impact on Sammons Financial Group and the nature of our Internal Audit work.
- CPA, CIA, CISA or industry-related certification Required.
- Travel (up to 20%) to other Sammons Financial Group locations.
Suitability Requirements:
Criminal background check required.
Company Information:
Sammons Financial Group offers a competitive benefit package that includes: Health, Dental, Vision, Company Paid Retirement, PTO, and Holiday Pay.
- Our Employee Stock Ownership Plan (ESOP) is a 100% company-funded retirement plan, so you can save for retirement without contributing a penny of your own paycheck.
- Healthy balance between work and personal lives. Friday afternoons off all year long, competitive PTO, and generous number of paid holidays.
- Our incentive program for defined goals subject to eligibility and performance. Monetary rewards are based on individual and/or overall company performance.
- Colleagues who support one another, model our core values, and drive our healthy, high-performing culture.
Work Authorization/Sponsorship: At this time, we’re not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.).
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