Additionally, the Senior Auditor may also assist Internal Audit management with periodic reporting to the Audit Committee, development of the annual internal audit plan, and championing internal control and corporate governance concepts throughout the business. The Senior Auditor may often direct and review the work performed by other internal audit personnel.
ESSENTIAL DUTIES AND RESPONSIBILITIES: A list of roles and responsibilities for a Senior Auditor are included below. Other duties and special projects may be assigned. Supervises, plans and performs operational and financial audits.
Creates audit planning memos in conformance Internal Audit Department procedures.
Documents business processes within process narratives or flowcharts, identifying risks and mitigating controls.
Develops risk and control matrices and test plans for key controls.
Identifies control gaps and test the design of existing controls.
Reviews and tests records of Bank United and ensure compliance with company policies, procedures, plans, and communications as well as safe and sound banking practices.
Formulates clear and concise conclusions on internal controls and business process and efficiencies.
Prepares audit reports detailing findings and recommendations and review findings and recommendations with appropriate management personnel through exit conferences.
Participates in audit exit meetings and prepares presentations.
Prepares and/or supervises the preparation of organized, accurate, complete and competent work papers conforming to Internal Audit Department requirements, ensuring the documentation clearly supports the conclusion regarding each objective.
Participates in audit engagement and bank-wide risk identification sessions.
Performs interim and year-end audit testing procedures over FDICIA/SOX key controls.
Keeps Audit Managers and Group Managers informed of audits in progress. Supervises audits so that time is efficiently used, deadlines are met and department standards are maintained.
Prioritizes and delegates tasks as appropriate to Audit Associates while supervising their performance and coordinating resources.
Provides guidance and training to staff auditors.
Maintains positive team relationship by demonstrating and supporting initiative, willingness to learn, flexibility, respect, cooperation and commitment to the success of the internal audit process.
Keeps abreast of regulations, industry, and information technology changes.
Supports external auditors as assigned.
Ensures adherence to professional audit standards.
Conducts audit special projects, as necessary.
SUPERVISORY RESPONSIBILITIES: Directly supervises Audit Associate
MINIMUM EDUCATION, EXPERIENCE, AND CERTIFICATIONS BS/BA degree in Accounting, Business Administration, IS/IT, or related field.
3-6 years related experience.
In process of obtaining CIA, CPA, or CISA or other relevant audit certification.
Experience in creating process documentation, developing audit plans, and performing audits.
Knowledge of MS Word, Excel, Visio and PowerPoint; ACL & MS Access a plus.