- Assist in the development of the annual audit plan, and perform internal audits in conformity with the annual audit plan and the International Professional Practices Framework (IPPF).
- Manage and perform internal audits of various functions at Alerus, with primary focus on the areas related to assigned area of focus (banking or retirement plans, trusts, and investments).
- Prepare or update planning and risk assessment tools for each audit area identified.
- 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).
- Assist with and/or manage audits of other functional areas as necessary.
- 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.
- Understand the areas being audited, including, but not limited to, attending meetings and training.
- Maintain current knowledge of company procedures, policies and regulations.
- Analyze current company policies and procedures for appropriateness.
- Carry out a program of continuing education.
- Obtain and seek out specialized training in assigned area of focus (banking or retirement plans, trusts, and investments), including self-study materials, conferences, and telephone seminars.
- 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 Audit Manager 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.
- Bachelor's degree and 4+ years of related experience in bank or financial institution internal auditing; or the equivalent combination of education and experience. Work related experience should consist of an in-depth background in Audit and supervisory skills. Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry.
- Professional certification (CPA, CBA, CIA or CFSA) or advanced degree is a plus but not required.
- Broad knowledge of banking functions retirement plans, trusts, & investments.
- 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.
- 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.
- 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.
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Auditor, Senior - Minnetonka, United States - Alerus Financial
Description
Position Summary:
Provide expertise, advice, and counsel based on advanced business and/or audit experience to the functional areas of Alerus. Provide leadership for projects and team activities. Proactively implement audit strategy for the sound application of risk based practices by defining audit scope, audit program, and review and test procedures. Exercises judgment and influence business managers and peers. Help business partners balance their business strategy with appropriate risk management controls. Contribute to the development, implementation and communication of Audit's missions, goals and strategies. Interact with regulatory agencies, external consultants and other internal risk management groups.
Essential Responsibilities:
Job Function 1: Plan and Conduct Audits - 65%
Job Function 2: Maintain Knowledge of Products and Services - 30%
Job Function 3: Communicate Audit Findings - 5%
Position Requirements:
Qualifications:
Personal Characteristics:
Physical Demands - Must be met with or without a reasonable accommodation:
Alerus Financial is an Equal Opportunity Employer of women, minorities, protected veterans and individuals with disabilities.
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor's legal duty to furnish information. 41 CFR c)
