• Senior Auditor - Finance/Operations

    ID
    2018-5943
    Job Locations
    US-CA-San Francisco
    Category
    Audit
  • Overview

    As a member of our Internal Audit team, the Senior Auditor – Finance/Operations will work closely with the Bank’s finance, accounting, lending, deposits, compliance, wealth management, and other lines of business to ensure appropriate control design and test control effectiveness across organizational processes.

     

    The Senior Auditor is responsible for assisting with the planning and execution of financial, operational, and regulatory compliance based audits as well as providing consultation on risks and controls throughout the Bank and its subsidiaries.

     

    The allocation of responsibilities and tasks will vary depending on the timing and staffing needs of the Internal Audit Finance and Operational Audit Team.

    Responsibilities

    1

    Assist and drive planning activities for key components of audit engagements by reviewing available business information and documentation, performing business walk-throughs, assessing risk and regulatory requirements, and designing audit programs.

     

    2

    Administer and execute financial and operational audits including, but not limited to, (a) audit engagement planning, (b) schedule and lead business and internal meetings, (c) general administration such as coordinate with Audit Administrator for workspace, badges, and logistics, (d) perform audit fieldwork and testing using appropriate audit methodologies and internal standards, (e) effectively lead resources assigned to audit engagements, (f) monitoring inflow of audit requests, (g) perform review of staff and co-sourcing workpapers (h) set-up and administer weekly audit status meetings, (i) assist in report writing, (j) ensure timely issuance of report, and (k) validate the remediation of audit findings.

     

    3

    Provide assistance to external auditors by responding to general audit questions, supporting their efforts to rely on Internal Audit work, assisting in the annual confirmation process, and as needed.

     

    4

    Develop draft audit reports by identifying and gathering support for potential issues, ensuring findings are appropriately documented, and recommending value-added solutions.

     

    5

    Ensure the overall quality, consistency, risk management and adherence to department and professional standards and identify opportunities for audit process improvement.

     

    6

    Establish and maintain strong relationships with business management and process owners.

     

    7

    Remain current and increase knowledge of regulatory requirements that impact the organization, as well as in the areas of internal control, accounting, business, company products and services.

     

    8

    Support management initiatives and perform administrative responsibilities as needed.

     

    9

    Assist in special projects and non-finance and operations related audit projects as needed; perform other duties and responsibilities specific to department functions or as assigned by supervisor.

     

    10

    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) who enters into a relationship with the Bank is known and verified.

     

    Qualifications

    • 5+ years of audit experience with an accounting firm or in an internal audit role within the banking or financial services industry
    • Sound knowledge and experience in financial and operational audits
    • Internal control or risk management related experience
    • Knowledge of banking and the finance industry
    • BS/BA degree in related field
    • Self-starter who excels at learning new processes and business functions
    • Excellent written and verbal communication skills
    • Strong executive presence
    • Detail-oriented with excellent organization skills
    • Ability to critically analyze and assess the adequacy of internal controls and opportunities for process improvements and efficiency gains
    • Creative approach to problem solving in a dynamic environment
    • Advanced skill levels with Microsoft Office applications
    • Demonstrated integrity within a professional environment
    • Professional certifications such as CPA, CIA, CISA, CFE, etc. are preferred
    • Team oriented and collaborative individual with strong soft skills
    • History of providing extraordinary service
    • Ability to travel to various locations throughout the United States
    • Furthers the First Republic Bank culture and values

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