Internal Auditor

Overview

JOB SUMMARY:

To assist the Department Head in performing audits, internal control assessments, or reviews of compliance with established Bank policy and procedures, or laws and regulations.  Tasks performed include examining records/reports/operating practices and documenting sample selected, test performed, test results, audit conclusion and findings.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

1. Plans and performs financial, operational, and compliance audits in accordance with the annual internal audit plan.
2. Conducts meetings/interviews/walk-throughs with Branch management and personnel to assess how controls are functioning in a specific area.
3. Executes testing of specified area and identifies potential or reportable issues.
4. Communicates findings to line management responsible for the area audited and the Department Head.
5. Drafts audit findings/reports.
6. Collects evidence or performs testing on corrective actions to ensure that remediation implemented is effective.
7. Documents sample selected, fieldwork performed, test results, conclusion and findings in a clear and concise manner.
8. Organizes supporting documents to support audit conclusion.
9. Performs other duties as assigned provided that the duties performed do not infringe on the auditor’s independence or objectivity.
10. Has no authority to initiate or approve transactions of any nature.
11. Has no authority to administer or supervise operational functions.

JOB REQUIREMENTS:

EDUCATION:          Bachelor’s degree in Auditing, Accounting, Finance or Information System preferred.

EXPERIENCE:          A minimum of 1~3 years of audit experience through public accounting/auditing and/or industry experience.

 

SPECIFICATIONS:

Strong verbal/written communication, analytical, and interpersonal skills;

Ability to follow instructions and work independently;

Possesses an appropriate combination of technical expertise in fields such as auditing, finance, technology, operations, or investigations;

Professional certification, such as CIA, CISA, or CAMS, a plus;

 

PRINCIPLE ACCOUNTABILITY

As the Branch’s Senior Auditor, the principle accountabilities are:

To assist the department head in verifying that the Branch is in compliance with all applicable banking rules and related laws and regulations;

To verify proper internal controls and  risk management in the Branch;

To verify the accuracy of the information being provided in regulatory reports and letters;

To verify the effectiveness of the information security in the branch’s operations;

To verify compliance with the Branch’s and departmental policy and procedures, the guidance from Head Office as well as the applicable U.S. rules and regulations;

To maintain professional competence by attending seminars, participating in professional societies, and reading pertinent publications;

To maintain confidentiality of the bank’s information.

Job Order ID: 1240