As a member of our Internal Audit team, the Internal Audit Manager – Fin/Ops is responsible for planning, conducting and managing finance and operational audits with minimal oversight. As an Internal Audit Manager, the role will also provide advisory services on financial, operational and regulatory risks and controls throughout the Bank and its subsidiaries. Financial and operational audit areas include, but are not limited to, Lending, Deposits, Private Wealth Management, and Corporate functions.
1. Assist with developing and implementing an annual audit plan by assessing all relevant risk factors, considering management’s expectations of Internal Audit’s strategic involvement throughout the organization and with outside vendors.
2. Assist in defining, refining, implementing and maintaining the Bank’s audit process, including department standards and procedures that will be overseen by the Audit Committee of the Board of Directors.
3. Manage and execute Financial and Operational audits with minimal oversight, including identifying and analyzing risks, planning and prioritizing the audit work, leading audit interviews/walkthroughs, observing operations, documenting and analyzing procedures and controls, performing/reviewing audit tests, preparing/reviewing appropriate workpapers, developing audit observations/recommendations and reviewing them with appropriate management, and preparing audit reports.
4. Prioritize and manage multiple administrative functions such as budgets, scheduling resources, coaching, staff development, recruiting, internal policy development, etc.
5. Be recognized as a leader, management consultant and internal controls expert; develop and maintain collaborative working relationships with business management, learning and understanding the business to better provide value-added services, help management achieve objectives, and enhance customer satisfaction.
6. Liaise with and represent the Internal Audit department to external parties, including regulators and external auditors. Also, manage co-sourced audit relationships.
7. Participate in business special programs or initiatives to provide audit perspective and advisory services.
8. Assist in recruiting, screening, hiring, developing and mentoring staff, including career-counseling support by sharing information among the Internal Audit group, transferring knowledge and providing instruction/guidance as appropriate. Foster and maintain team spirit and team morale, through a collaborative and positive atmosphere.
9. Ensure the overall quality, consistency, risk management and adherence to department and professional standards for Fin/Ops audits, identifying opportunities for audit process improvement and integration with the financial, operational, compliance, and IT audit processes.
10. Maintain professional certification(s) and continue to develop and expand knowledge of the audit profession, evolving regulatory environment, information systems, the financial services industry, and Bank products and information through self-study, research, and continuing education efforts.
11. Act as a leader amongst the management team, to ensure collaboration and teamwork.
12. Responsibilities include the following: 1) adhering to and complying with all applicable, federal and state laws, regulations and guidance, including those related to Anti-Money Laundering (i.e. Bank Secrecy Act, USA PATRIOT Act, etc.), 2) adhering to Bank policies and procedures, 3) completing required training, 4) identifying and reporting potential suspicious activity to the BSA/AML Officer, and 5) knowing and verifying the identity of any customer(s) that enters into a relationship with the Bank.