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Senior Internal Auditor

Pasadena, CA
Posted on 3/18/2021
Full-Time

POSITION OVERVIEW

This position generally does not manage staff. Travel is required for the position, with an estimated range of 10-20% within California and based on the primary work location of the auditor and the function/department to be audited.

GENERAL SUMMARY

The Senior Internal Auditor position is a staff role within the Bank’s Risk Management team. This position will directly report to the Bank’s VP, Audit & Loan Review Manager. The work location will generally be in Pasadena or City of Industry, CA. The Senior Internal Auditor will perform an important role in performing Financial, Operational, Compliance & FIDICA Audits and various value-add projects under the direction of the Audit & Loan Review Manager and/or the Chief Risk Officer. The position is primarily responsible for completing quality audit or loan review work (including planning, fieldwork, reporting, issue tracking and follow-up, etc.) within assigned timeframes and budgets. Relocation expenses are not covered by the bank.

ESSENTIAL JOB FUNCTIONS:

  • Lead interviews of process owners to develop understanding of business processes, client’s business, and internal controls design.
  • Identify potential risks and controls weaknesses, assist in developing scope and work programs, and suggest appropriate remediation.
  • May lead some financial, operational, Compliance and FDICIA audit process from start to finish, including planning and audit execution according to a risk-based approach, recommending internal control improvements (including operational enhancements or efficiencies) and preparing audit reports. Effectively manage audit budget and deadlines. Provide updates to management on progress.
  • Ensure assignments are completed within established time frames and that delays/issues/concerns are communicated to Internal Audit management on a timely basis.
  • Partner with process owners to promote and support a culture of continuous process improvement and efficiency driving toward standardized practices.
  • Stay abreast of audit and compliance standards and emerging issues in the areas applicable to the company.
  • Obtain and maintain a general understanding of business activities, objectives, applicable laws, regulations, and associated risks to the company and industry.
  • Identify opportunities for, and participate in approved special projects, investigations or other significant business issues.
  • Supports the Chief Risk Officer and Audit Manager by assisting with audit scoping, planning, evaluating, and reporting.
  • Contributes to the continuous monitoring activities for audit findings and issues. Validates the sufficiency and suitability of business corrective actions to address audit findings.
  • Assists in the preparation and updating of bank-wide risk assessments.
  • Performs other duties as assigned.

MUST HAVE REQUIREMENT:

  • Education: Bachelor’s Degree in Finance, Accounting, Business, or related field.
  • Year of Experience: At least 3-5 years related internal/external audit or risk management experience - in a Bank or Financial Services industry preferred but not required.
  • Skills/Ability: Ability to work independently and with others.

SPECIFICATIONS:

  • Good working knowledge about audit methodology, procedures, and risk assessments; the banking industry and related regulations, financial statement analysis and lending concepts; BSA/AML and consumer regulations
  • Effective time management and organizational skills including the ability to manage multiple projects and competing priorities.
  • Ability to exercise sound judgment in the execution of assignments and communication with others.
  • Excellent verbal and written communication skills; interpersonal and presentation skills – a
  • Ability to work closely and collaboratively with people at all levels in the department and within the organization.
  • Good organizational and analytical skills and detail oriented with the ability to proactively identify issues and assist in resolution.
  • Excellent computer skills, Proficient in Microsoft Office Products (i.e. Excel, PowerPoint, Word, etc.).

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