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