- Performs audits as assigned by the VP Internal Audit including operational and regulatory compliance processes. Evaluates the extent of compliance with applicable laws and regulations as well as the adequacy of compliance procedures.
- Assist in determining the scope of the proposed audit, including the procedures and program to be used.
- Performs walkthroughs and interviews as needed to test processes to evaluate the design and operating effectiveness of key controls.
- Obtains, analyzes, and appraises evidentiary data as a basis for an informed, objective opinion on the activities being reviewed.
- Communicates information regarding audit status and/or critical findings/concerns throughout the assignment to the VP Internal Audit with proposed recommendations for solution.
- Prepare audit work papers to support audit scope, objectives, work performed, findings, and conclusions reached. Draft audit reports that discuss findings and recommendations for improvements and submit to the VP Internal Audit for review prior to finalizing report.
- Coordinate scope meetings, kick-off meetings, status updates and exit meetings with management for each audit as necessary.
- Presents audit results to management and ensures management provides written responses to address findings and recommendations. Track status of outstanding findings/observations through completion.
- Conducts audits in accordance with the Institute of Internal Auditor's Internal Professional Practice Framework, which includes the Code of Ethics and the Standards for Professional Practice of Internal Auditing (Standards).
- Maintains a high level of professionalism and maintains the confidential nature of all work papers and information obtained during an audit and/or special project.
- Assist in coordinating and facilitating requests by regulatory examiners, external auditors and other consultants as directed by the VP Internal Audit.
- Performs post-audit follow-up of internal and co-sourced audits, the annual opinion audit, and NCUA regulatory exams as assigned by the VP Internal Audit. Ensures findings are properly tracked and timely addressed by stakeholders.
- Assists with investigations and conducts research, analyzes results and prepares results for special tasks or projects assigned by the VP Internal Audit.
- Maintains professional and technical knowledge regarding auditing standards, best practices, tools and techniques to provide objective and independent assurance throughout the audits.
- Assists the VP Internal Audit in the development of the risk assessment and audit plan, as requested.
- Provides guidance and recommendations to credit union personnel with questions that arise pertinent to internal controls and best practices.
- Maintains knowledge of, and complies with, all Mission Fed, departmental and security policies and procedures, as well as, federal regulations applicable to the position, including BSA requirements. Completes all required compliance training as assigned.
- Performs other duties as assigned.
- Understanding of internal controls, risks, and governance principles.
- Knowledge of key regulatory compliance requirements pertinent to the banking industry.
- Ability to collaborate and communicate effectively with various stakeholders, including: staff, management, and external parties, such as NCUA examiners and external auditors.
- Strong ethics and integrity, self-disciplined, and ability to work independently, as well as collaboratively.
- Excellent verbal, written, and interpersonal communication skills and strong analytical and problem-solving skills.
- Strong organizational skills, ability to meet deadlines, prioritize multiple tasks, and manage priorities.
- Knowledge of computer aided audit technologies and/or data analytics.
- Frequent sitting and repetitive use of the hand involving fine manipulation.
- Occasional repetitive motion of the hand involving simple grasping and reaching, and lifting & carrying (0-10 lbs).
- Travel to branch offices throughout San Diego County
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Internal Auditor - San Diego, United States - Mission Fed
Description
SUMMARY: Assist the VP Internal Audit with their responsibility for overseeing the safety and soundness of the Credit Union's assets by evaluating the adequacy and effectiveness of the Credit Union's internal control procedures, adherence to rules and regulations and internal policies and procedures. Plans, conducts and reports results of audits of the credit union's processes as assigned by the VP Internal Audit. All Internal Audit activity is guided by the annual audit plan which is approved and overseen by the Supervisory Committee.
The independent and objective professional will be tasked with assessing Mission Fed's operational processes, compliance with applicable regulations, and adequacy of controls for the various areas of the organization. The position will provide additional support/assistance as needed during major engagement, such as the NCUA exam, the annual opinion audit, and special projects.
KEY RESPONSIBILITIES:
QUALIFICATIONS:
Education: Bachelor's Degree or equivalent in business, finance or accounting is required. Two years of experience may substitute for every one year of education. Professional certification such as Certified Internal Auditor (CIA), Certified Bank Auditor (CBA), or Certified Credit Union Internal Auditor (CCUIA) is desired.
Experience: A minimum of 5 years of audit experience, including experience auditing financial services operations and compliance is desired. Must have excellent verbal and written communication skills and demonstrated experience interacting with employees at all levels within an organization, including dealing with highly confidential/sensitive information. Must have a current Driver's License in good standing and current CA automobile insurance, as driving is a requirement of this position.
COMPETENCIES:
Skills & Abilities:
Software: Microsoft Office Suite, Internet, Symitar Episys and related software solutions.
PHYSICAL DEMANDS/WORKING CONDTIONS:
Base Pay/Salary: $82,000 - $122,000 per year
The salary range that we expect to pay for this position is $82,000 - $122,000 per year. Actual base pay within this range will be determined by several components, including but not limited to, relevant experience, internal equity, skills, qualifications, and other job-related factors permitted by law.
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