- Prepare process flow documentation and identification of key risks for processes under review.
- Plan, develop and implement an audit program to adequately evaluate key risks and related controls for an assigned audit area.
- Independently manage internal audit projects or segments of projects and provide direction to audit team regarding assessment of risk, design of internal control tests, sampling approach and execution, and documentation of procedures and results; review working papers prepared by audit team, when assigned.
- Formulate audit plans, perform risk assessment, and conduct adequate audit procedures independently.
- Maintain comprehensive working papers to support and substantiate audit findings and conclusions.
- Communicate progress of audit with auditees, audit project team members, and SVP, Internal Audit Executive on a timely basis.
- Prepare written communications such as audit reports, partner correspondence, and memos.
- Collaborate with control owners to ensure corrective action plans are in place to remediate any gaps identified with internal controls.
- With each completed audit, provide the SVP, Internal Audit Executive with timely and accurate audit working papers and a draft internal audit report that includes the audit team's objective analyses, appraisals, and recommendations to improve operations and controls.
- Assist in conducting special investigations involving suspected employee fraud and dishonesty, operating losses, and cash shortages; complete Suspicious Activity Reports (SAR).
- Assist in researching, resolving, and responding to member complaints received through regulatory agencies and the Better Business Bureau.
- Assist in supporting external auditors' annual audit and regulators' periodic examinations.
- Lead or assist in the development of the internal audit department's procedures, practices, and training.
- Provide recommendations regarding control and compliance concerns related to the products and services offered by the credit union and related to new processes and system changes.
- Meet with new hires during the new hire orientation program to discuss confidentiality of credit union information, password protection, check kiting, internal fraud, and consequences.
- Keep current with industry and technical audit knowledge, regulatory changes, and professional standards by attending various continuing education programs.
- Perform special projects, as assigned by SVP, Internal Audit Executive.
- Certified Public Accountant (CPA), Certified Internal Auditor (CIA) certification, or similar professional certification required. Certified Information Systems Auditor (CISA) or Certified Fraud Examiner (CFE) preferred.
- Advanced understanding of business risk, internal controls and internal audit methodology, and technical standards, and the ability to apply these concepts in new situations.
- Excellent verbal, written, and interpersonal communication skills, including the ability to present audit results confidently and accurately.
- Strong analytical ability and capability to identify problems and solutions and work with audited management in a collaborative manner.
- Ability to work with all levels of management and credit union staff.
- Ability to resolve conflicts with supervisors and managers.
- Organized, efficient, and able to work independently.
- Detail-oriented to generate accurate and precise work.
- Strong project management skills.
- Ability to operate a personal computer and related software applications proficiently.
- Must have own transportation to travel to department locations to perform internal audits.
- Excellent communication skills (verbal, written, listening skills, and empathy).
- Expert ability to build relationships with other leaders, business partners, and stakeholders.
- Ability to read, analyze and interpret common scientific and technical journals, financial reports, and legal documents.
- Ability to respond to common inquiries or complaints from customers, regulatory agencies, or members of the business community.
- Ability to interpret a variety of instructions furnished in written, oral, or schedule form.
- Ability to solve practical problems and deal with a variety of concrete variables in situations where only limited standardization exists.
- Ability to work with mathematical concepts such as probability and statistical inference.
- Ability to apply concepts such as fractions, percentages, ratios, and proportions to practical situations.
- Ability to calculate key financial statement ratios.
- Ability to collect data, establish facts, and formulate conclusions.
- Ability to interpret a variety of technical instructions and deal with several abstract and concrete variables.
- Ability to apply learned concepts to new situations.
- While performing the duties of this job, the employee is regularly required to sit and talk or hear, and use hands to finger, handle, or feel objects, tools, or controls.
- The employee is occasionally required to stand; walk; reach with hands and arms; and stoop, kneel, crouch, or crawl.
- The employee must occasionally lift and/or move up to 10 pounds.
- Specific vision abilities required by this job include close vision.
- The noise level in the work environment is usually moderate.
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Description
Salary Range: $102, $128,000.00Exact compensation may vary based on skill, experience and location
POSITION PURPOSE
The Senior Auditor is a pivotal member of the Internal Audit department, responsible for advancing governance, risk management, and operational effectiveness within the credit union. This position independently conducts objective audits across diverse functions, processes, and programs, prioritized based on their risk profile. The role involves a critical evaluation of the adequacy and effectiveness of internal controls and compliance with regulations. The Senior Auditor manages all audit phases from planning through to the final report under the guidance of the Senior Vice President (SVP), Internal Audit Executive. This role requires regular interaction with senior management across the organization to discuss audit findings, resolve issues, and suggest meaningful enhancements. Additionally, the Senior Auditor leads or contributes to special projects, including investigative assignments, and provides training and mentorship to junior staff involved in these projects.
ESSENTIAL FUNCTIONS AND BASIC DUTIES
Education/Certification:
Bachelor's degree in accounting, finance, or a related field, master's degree preferred
Certification:
Solid understanding in all major areas of credit union operations and regulatory requirements. Comprehensive understanding of major banking/credit union risks including credit, interest rate, liquidity, operational, compliance, and reputation risks. Strong knowledge of auditing standards, methodologies, and practices.
Experience Required:
Minimum of 4 years of experience as an internal or external auditor in the financial services industry. Public accounting experience preferred.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
Skills/Abilities:
LANGUAGE SKILLS
The physical demands described here are representative of those that must be met by an employee to successfully perform the essential functions of this job.
This is not necessarily an all-inclusive list of job-related responsibilities, duties, skills, efforts, requirements or working conditions. All descriptions have been reviewed to ensure that only essential functions and basic duties have been included. Peripheral tasks, only incidentally related to each position, have been excluded. Requirements, skills, and abilities included have been determined to be the minimal standards required to successfully perform the positions. While this is intended to be an accurate reflection of the current job, management reserves the right to revise the job or to require that other or different tasks be performed as assigned.
In accordance with the Americans with Disabilities Act, it is possible that requirements may be modified to reasonably accommodate disabled individuals. However, no accommodations will be made which may pose serious health or safety risks to the employee or others or which impose undue hardships on the organization.
Job descriptions are not intended as and do not create employment contracts. The organization maintains its status as an at-will employer. Employees can be terminated for any reason not prohibited by law.
