Senior Regulatory Auditor - Roseland, NJ
1 day ago
Job description
Job Description
We are seeking a Senior Compliance Auditor that will execute financial and operational audits of business units, products, activities, and functions. Be actively engaged in the audit process from planning to issuance of the audit report.
Responsibilities
- Conduct preliminary surveys of audit areas to define scope and analyze risk.
- Draft planning memos and engagement letters.
- Prepare opening and closing meeting presentations.
- Draft audit programs ensuring complete coverage and analysis of assigned areas.
- Execute audit testing and document work papers in accordance with departmental guidelines.
- Draft audit reports and review findings with IAD management and the client.
- Develop knowledge in a critical subject matter area and/or knowledge of key business processes.
- Ensure that issues or problems are addressed and communicated appropriately in a timely manner.
- Communicate testing results to the project manager, process owner and management.
- Draft observations and recommendations to resolve or prevent errors and enhance controls within the audited entity.
- Perform special reviews and other related duties as assigned.
- Provide timely status reports to the project manager and Director.
- Develop value-added relationships with process owners and business unit management.
- Utilize data analytics in performing audit services.
Additional Information
Goals and Competencies
- Successfully complete audit assignments in a timely and efficient manner with limited supervision.
- Improve and enhance technical proficiency by completing 40 credit hours of applicable training courses per year.
- Possess a professional certification or express willingness to obtain a certification during a specified period of time.
- Analysis: Identify and understand issues, problems, and opportunities, compare data from different sources to draw conclusions, and effectively identify and explain root causes.
- Judgement: Use effective and efficient approaches for choosing a course of action; take action that is consistent with available facts.
- Communication: Clearly convey information and ideas in a manner that helps the target audience to understand and retain information. All written narratives are presented in a logical, clear and grammatically correct manner. Employ active listening and respond effectively to directions.
- Planning and Organization: Support departmental goals by prioritizing work effectively and efficiently. Utilize resources to facilitate the timely and efficient completion of audits.
- Adaptability: Ability to either effectively lead an audit or work as a key contributor in an effort to accomplish the objectives for an area that is not your expertise. Adjust quickly and effectively to work with new processes, people and cultures.
- Teamwork: Actively volunteer for and participate in audits/projects and proactively contribute suggestions and solutions to resolve issues. In doing this, the associate should keep an open mind about the ideas and suggestions of fellow associates and adhere to the needs and goals of the team.
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