Overview
This is a hybrid role (if located in Charlotte or Raleigh, NC) with the expectation that time working will regularly take place inside and outside of a company office. Two days a week in office. Open to remote in several markets for highly qualified candidates.
The Senior Auditor position supports the Capital Risk Audit team by testing the design and effectiveness of the internal control system. Documents and evaluates internal controls, ensures compliance with regulatory requirements including Sarbanes-Oxley, and identifies business risks. Develops procedures that improve system efficiency and mitigate risk. Assists in the supervision and review of audit activities, including advanced reporting and participation in projects as needed.
Responsibilities
- Audit - Executes audit procedures, performs advanced analysis, uses appropriate general and audit-specific technology, and provides sufficient evidence to conclude on the adequacy and effectiveness of the internal control system. Ensures compliance with applicable laws, regulations, policies, and procedures. Verifies the reasonableness of financial data.
- Process Improvement - Creates reports and other documentation to communicate findings. Designs procedures, techniques, and sample approaches to validate testing methods. Proposes audit recommendations to improve efficiency and compliance. Cooperates with independent auditors and provides support for external audits as needed.
- Risk Assessment - Evaluates risks within the internal audit control system. Suggests process improvements to mitigate or avoid financial losses.
- Documentation - Compiles all relevant business, process, and system information prior to auditing. Updates process flows, risks, and controls, and accounts for the impact of technology on the control environment.
Qualifications
- Bachelor's Degree and 2 years of experience in Accounting, internal audit, or finance OR High School Diploma or GED and 6 years of experience in Accounting, internal audit, or finance.
Preferred Education: Advanced Degree in Business, Finance, Accounting.
Preferred License or Certification Type: Possess or in process of obtaining designation as a Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Information Systems Auditor (CISA).
Preferred skills:
- Capital management and stress testing experience (capital contingency plan, CCAR, capital goals and targets, etc.)
- Financial risk management experience (liquidity risk, market risk, model risk, enterprise risk management)
- Banking / financial services industry experience
- Knowledge of major regulatory areas of focus, including banking, systems, regulations, and audit procedures, Knowledge of Generally Accepted Accounting Principles (GAAP), SEC Rules, and SOX Act.
- Experience working in or conducting internal audits for Capital Risk.
- 1-2 years of experience in internal audit at a financial institution and/or Big 4 audit experience.
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