- Plan and perform assigned internal audits in conformity with the annual audit plan and the International Professional Practices Framework (IPPF).
- Prepare or update planning and risk assessment tools for each audit performed.
- Develop or update audit programs as deemed necessary based on new regulations and results of risk assessments.
- Conduct internal audits in a timely manner utilizing a risk-based approach that contains sufficient documentation to support audit procedures performed.
- Supervise, provide guidance, and review work papers.
- Monitor progress on audit recommendations issued by internal audit and external organizations (i.e. OCC, SEC, FINRA, independent accountants).
Job Function 2: Maintain Knowledge of Products and Services - 15% - Understand the areas being audited, including, but not limited to, attending meetings and training.
- Maintain current knowledge of company procedures and regulations.
- Analyze current company policies and procedures for appropriateness.
- Carry out program of continuing education.
- Obtain and seek out specialized training for the applicable audit areas, including self-study materials, conferences, and telephone seminars.
Job Function 3: Additional Responsibilities - 10% - Assist with audits and examinations performed by external organizations.
- Strive to identify opportunities for efficiencies while performing audit procedures.
- Assist in streamlining processes and functions while maintaining adequate controls.
- Perform research on new regulations and adjust audit programs as necessary.
Job Function 4: Communicate Audit Findings - 5% - Responsible for both verbal and written reporting of audit findings.
- Communicate policy exceptions, compliance violations, and control weaknesses to department supervisors and managers during audit engagements.
- Submit audit work, findings, and reports to Senior Auditor for review.
- Present final reports to management of departments audited.
- Support all audit work for presentation to the Audit Committee, external auditors, and regulatory examiners
Position Requirements:
Qualifications: - Bachelor's degree from a college or university required. Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry.
- 3+ years of related experience in bank or financial institution internal auditing preferred; or the equivalent combination of education and experience. Work related experience should consist of an in-depth background in Audit and supervisory skills.
- Professional certification (CPA, CBA, CIA or CFSA) or advanced degree is a plus but not required.
- Broad knowledge of traditional banking functions.
- Experience with evaluating and testing internal controls.
- Strong oral and written communication skills.
- Ability to perform research independently and work under minimal supervision.
- Excellent organizational and time management skills, with the ability to provide leadership, supervision and training for employee's using positive supervisory techniques to ensure maximum productivity; demonstrated ability in organization and delegation skills.
- Ability to travel within our ND and MN region for audit assignments.
Personal Characteristics: - Strong analytical and critical thinking skills.
- Effective persuasion and collaboration skills.
- Ability to identify, support and execute change.
- Attentive to details.
- Self-motivated.
- Ability to work independently and under minimal supervision.
- Professional attitude.
- Positive disposition.
- Strong time management and organizational skills.
Physical Demands - Must be met with or without a reasonable accommodation: - Extended periods of time sitting at a desk and using office equipment.
- Ability to operate a personal computer/laptop for approximately 8 hours per day.
- Extended time is spent reviewing physical and electronic documents.
- The employee is occasionally required to stand, walk, reach with arms and hands, climb or balance, and to stoop, kneel, crouch or crawl. Vision abilities required by this job include close vision.
- Periodically, may also do light lifting of supplies and materials which weighs in at approximately 20 lbs.
- Will spend most of time in an indoor environment.
- Ability to travel within our ND and MN region for audit assignments.
Alerus Financial is an Equal Opportunity Employer of women, minorities, protected veterans and individuals with disabilities. -
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Auditor - Grand Forks, United States - Alerus Financial
Description
Position Summary:The Auditor is primarily responsible for the development and execution of internal audits for the functional areas of Alerus Financial and communicating findings to the appropriate persons. They are also responsible for assisting with company-wide projects as well as various research requests.
Essential Responsibilities:
Job Function 1: Plan and Conduct Audits - 65%
