The primary purpose of this position is to conduct financial, compliance, and operational audits, business advisory and consultation services, investigations and review internal control structures, accountability, and the use of resources. Work is performed under the direction of the Internal Audit Manager.
ESSENTIAL FUNCTIONS AND SUPPORTING DUTIES:
- Conducts financial, compliance, and operational audits, business advisory and consultation services, investigations and review internal control structures, accountability, and the use of resources.
- Reviews compliance with policies, procedures, state and federal laws, and regulations.
- Performing “start to finish” audits, including:
- Performing planning (e.g., creating/updating the audit program, setting up and leading planning meetings, performing a risk assessment related to the audit area, designing audit procedures, etc.)
- Performing detailed audit procedures, including reviewing transactions, documents, records, reports, and policies and procedures for accuracy and effectiveness.
- Completing work papers that document and support the audit work performed.
- Composing reports, including observations and recommendations for improvement, on the activities, systems or procedures being reviewed.
- Leading exit-conferences.
- Performs follow-up procedures to ensure compliance with recommendations noted in audit reports.
- Maintain effective working relationships and communicate with auditees and employees at all levels.
- Assist with external audits and regulatory examinations.
- Reviews quality control/file maintenance reports and performs follow-up procedures, as necessary.
- Assists in the analysis/review of regulatory compliance, including interpreting laws and advising management of the operational impact, quality control checks, etc.
- Demonstrates high standards of conduct and ethics, as well as appropriate judgment, independence, and discretion.
- Performs other duties as requested.
- Bachelor’s degree in accounting, finance or a related business field, or the equivalent (combination of) work experience within a financial institution and/or post-secondary education.
- General knowledge of operational audit procedures, internal controls, accounting practices and procedures, and regulatory compliance.
- Strong working knowledge of Microsoft Excel, including but not limited to use of complex functions (i.e., VLOOKUP, IF statements, etc.), charts, pivot tables, data manipulation, etc.
- Candidate must be willing to pursue (or earn) a professional certification [e.g., Certified Public Accountant (CPA), Certified Internal Auditor (CIA), etc.] in a field related to job duties.
- Knowledge of credit unions and products and services offered; with a preference towards electronic payment systems, commercial lending, and/or mortgage-related products and mortgage-related regulatory compliance.
- Working knowledge of audit procedures, including planning, techniques, test and sampling methods involved in conducting audits; as well as a knowledge of computerized accounting and auditing record keeping systems.
- High proficiency with computer assisted auditing techniques (CAATS) software (e.g., IDEA, ActiveData, etc.).
- Professional certification [e.g., Certified Public Accountant (CPA), Certified Internal Auditor (CIA), etc.] in a field related to job duties.
- Prior experience working in public accounting.
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