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A primary focus for this position will be to lead audit execution covering end-to-end processes of auditable entities within the Enterprise Risk Management Team (e.g., Asset-Liability Management – Treasury, Operational Risk Management, Model Risk Management, Capital Planning, Capital Markets- Fixed income/Derivatives, and Incentive Compensation). This individual will work closely with audit assignment team members to complete each phase of the audit. This will entail documenting walk-throughs of in-scope processes; assessing the sufficiency and suitability of controls to mitigate risks; developing audit procedures; testing the operating effectiveness and sustainability of controls; and drafting findings and associated recommendations to address identified gaps in the control environment. This individual will have regular interactions with team members, process / control owners, and management of business units. Based on experience, this role may also entail leading audits.
Essential Job Functions
- Demonstrates a strong ability to execute assigned audit procedures accurately, timely, and with minimal supervision.
- Leads as Head of Assignment, or supports the Head of Assignment by assisting with audit planning/scoping, evaluating, testing, and reporting.
- Contributes to the completion of continuous monitoring activities for assigned auditable entities and escalates matters that may impact the timing of the next audit assignments.
- Prepares and updates risk assessments for assigned auditable entities for supervisory review.
- Validates the sufficiency and suitability of business corrective actions to address audit recommendations for supervisory review.
- Exhibits effective written and verbal communication skills with all levels of management.
- Possesses an understanding of audit, risk, compliance, banking, and/or product knowledge.
- Executes audit work in accordance with Inspection Generale and the company's Inspection Group policies and procedures.
- Other Job Duties
- May be asked to direct the work of more junior staff members on the audit assignments.
- Performs other duties as assigned.
- Requires deep knowledge of banking functions typically obtained through advanced education combined with experience.
- Typically viewed as a specialist within discipline.
- May have broad knowledge of project management.
- Requires 7+ years minimum experience; prior relevant experience is preferred.
- Bachelor's Degree in an applicable and related field
- License(s) or Certifications such as CIA/CPA preferred. Bank will sponsor if candidate is interested in obtaining licenses/ certification in related field.
- Primary focus of role is on day-to-day execution of assigned areas of audit responsibilities while demonstrating the ability to take on additional responsibilities.
- Stays current on industry developments in affected areas of assigned responsibilities.
- Demonstrable strengths in one or more of the following:
- Bank Audit Activities Banking laws and regulations; asset and liability management; treasury (including derivatives); etc.
- Enterprise Risk Management Activities and practices for large, complex banking organizations (LCBOs); capital management and planning; stress testing; model risk governance and management; operational risk; financial reporting (including FDIC and state call reporting requirements, GAAP, and SEC requirements); budgeting; cost accounting (including transfer pricing and cost allocation); incentive programs; etc.