The Senior Auditor is responsible for assisting the Assurance Services team in providing independent auditing and consulting services designed to ensure integrity of UFCU’s operations through critical thinking and analytical processes. All activities are to be conducted in compliance with UFCU policies and the International Standards for the Professional Practice of Internal Auditing (the Standards), as promulgated by the Institute of Internal Auditors. Works under general supervision, with moderate latitude for the use of initiative and independent judgment.
We are a Member-Owned, Not-for-Profit Cooperative. At UFCU, we strongly believe in fair and honest products and outstanding member service. We work to assist you with your financial education, and we listen to your suggestions for how we can improve. And by keeping our member-elected Board of Directors local, we have the advantage of first-hand knowledge of local markets and member needs.
We credit these values with making us Austin’s largest locally owned financial institution, also serving Galveston County. Learn more about the UFCU Story (UFCU.org).
ESSENTIAL DUTIES AND RESPONSIBILITIES
(in %; all functions’ total should = 100%)
Essential Function Description
- Performs complex audits or audits that are large in scale.
- Performs follow-up audits.
- Examines and analyzes management operations, internal control structures and systems, and accounting records for reliability, adequacy, efficiency, and compliance with regulations.
- Gathers appropriate, sufficient, and persuasive audit evidence.
- Develops audit scope and objectives, planning research, engagement risk assessment, audit procedures, testing, summary of issues, and reports under management oversight.
- Plans and organizes audit procedures.Performs statistical sampling of data.
- May review audit work of Auditor II staff and below.
- May formally train Auditor II staff and below over audit techniques and practices.
- May conduct or lead special investigations.
- May lead or participate in communicating audit results to appropriate levels of management.
- Assist in maintaining departmental quality assurance program.
- Reports immediately to the Senior Manager – Assurance Services of any irregularities involving accounts of executives and/or management personnel or their immediate families (defined as violations of law or regulations and/or conditions which may lead to financial loss; this does not include minor problems of documentation or other minor matters).
Risk Assessments and Audit Work Plan
- Contribute to development of:
- Annual risk assessment.
- Annual financial center risk assessment
- Audit work plan
Research and Continuing Professional Education (CPE)
- Develop mastery of network administration policy, business continuance plans, and other IT security and control issues.
- Stay abreast of laws, regulations, and internal policies to ensure management develops and implements appropriate procedures to meet regulatory compliance requirements.
- Remain informed about related internet security, audit, and control implications.
- Participate in a leadership capacity for professional organizations devoted to study and professional support for the disciplines of accounting and internal audit.
- Maintain minimum CPE requirements and records.
- Pursue relevant certifications in the audit field, such Certified Financial Services Auditor (CFSA), Certified Information Systems Auditor (CISA), CFE (Certified Fraud Examiner), or CRMA (Certification in Risk Management Assurance).
- May take notes when attending Supervisory Committee meetings and draft minutes for management review.
- May assist in preparing documents for Supervisory Committee meetings.
- May lead planning efforts for the Independent Audit.
- Investigate and research NCUA member complaints.
- May lead consulting engagements within UFCU as assigned.
- Performs other duties as assigned.
- Adhere to all company policies, procedures and business ethics codes.
- Maintain strict adherence and compliance to all laws, rules, regulations, policies, procedures and internal controls specific to your role.
- Bachelor's degree (or higher degree) in accounting; or a degree in a related field such as business administration, or finance
- Minimum of six (6) years’ experience in accounting, auditing, quality control, and/or regulatory compliance
- Financial certification or licensure (for example, Certified Internal Auditor (CIA) or Certified Financial Services Auditor) or Information systems certification or licensure (for example, Certified Information System Auditor (CISA))
- Skilled communicator both written and verbally, including ability to compose and present clear and concise audit findings, recommendations, summaries, and reports
- Expert knowledge of and ability to operate within International Standards for the Professional Practice of Internal Auditing
- Self-aware with ability to adapt to various situations
- Knowledge of personal computers and software applications, specifically spreadsheets and word processing skills
- Proficient in Microsoft Office (Word, Access, Excel, and PowerPoint)
- Advanced knowledge of data analytics and similar techniques
- Ability to maintain strong collaborative working relationships with staff, management, and UFCU volunteers. Team player who makes a contribution to the accomplishment of annual and long-range strategic goals
- Ability to successfully pass pre-employment background screening, including FBI fingerprint search, credit check, education and employment verification
- Six (6) + years’ experience in accounting, auditing, quality control, and/or regulatory compliance
- Proficient in Auditing Software (RSA Archer, TeamMate) and data analytical software (ACL)
- Experience with financial institutions
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information.
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