Summary:
Executing operational, compliance, financial, and other audits and special projects. Participating in audit planning and risk rating processes, preparing all audit work paper sections, discussing audit findings with the business units, and preparing draft audit reports. Establishing rapport with management and staff of business units and building relationships with various corporate departments throughout the enterprise is a critical function for this role.
Principal Accountabilities:
- Conduct assigned audit engagements successfully from planning to reporting and wrap-up.
- Perform examination of organizational key functions to ensure that internal controls and safeguards are adequate, effective, and efficient.
- Perform independent evaluations of ongoing projects.
- Develop audit programs and testing procedures relevant to risk and test objectives.
- Perform and document tests in accordance with department procedures and professional standards, and communicate results to the Director, Internal Audit Manager, Internal Audit, and business units.
- Verify compliance with policies set forth by management and/or the board of directors.
- Evaluate compliance with applicable banking regulations which include but are not limited to: BSA, GLBA, TILA, RESPA, ECOA, HMDA, CRA, FCRA, Reg CC, Reg D, Reg E, etc.
- Plan, perform, and report on the design and operating effectiveness of internal control over financial reporting under the Federal Deposit Insurance Corporation Improve Act (FDICIA).
- Prepare reports for presentation to management and the Audit Committee of the Board of Directors based upon findings discovered during internal audits.
- Assist Internal Audit on the design and execution of continuous audit methodology, and reporting of results.
- Support the department by developing strategies to improve internal controls and minimize risk, while keeping audit management informed of the status of audits in progress, communicating obstacles or significant audit findings as they arise.
- Recommend financial and operational improvement suggestions for the Bank.
- Constructively work with business operations to identify areas for improvement, while collectively agreeing on appropriate corrective actions, facilitating remediation efforts, and monitoring progress to ensure that business units and corporate departments are timely in addressing control weaknesses and process inefficiencies.
- Develop and maintain effective interpersonal relationships with bank staff and management.
- Provide assistance to external auditors and examiners.
- Supervise and provide assistance to other Internal Audit staff.
- Provide training to new associates when necessary.
- Provide assistance with branch audits, special projects, and assignments as needed.
- Ensure work premises constitute a safe work environment that promotes a positive bank image, including regular inspection for and remediation of any hazardous conditions; regular maintenance and cleaning of premises; adherence to all posting requirements in jurisdiction, including human resources and compliance postings; and provision of comfortable and appropriate space for associates to conduct banking business.
- Understand, embody, communicate, and instill corporate initiatives and vision, including the six Pillars of Success.
- Maintain client information in complete confidence.
- Complete other specified duties as assigned.
- Regular attendance required, working at the assigned worksite, or assigned remote location during regular business hours and/or assigned hours.
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