• Senior Auditor, Fin/Ops

    Job Locations
    US-CA-San Francisco
  • Overview

    As a member of our Internal Audit team, the Senior Auditor – Finance/Operations is responsible for assisting with planning and conducting financial and operational audits as well as providing control consultation on risks and controls throughout the Bank and its subsidiaries.


    • Assist in the planning stages for key segments of audits by reviewing available information and data, assessing both risk and regulatory requirements and designing audit programs.
    • Administer, execute, and at times lead financial and operational audits including, but not limited to, a) audit team pre-planning, b) scheduling and leading kick-off meeting, c) general administration such as coordinating with Risk Administrator for workspace, badges, logistics, d) performing audit testwork using appropriate auditing methodologies and data analysis, e) effectively managing resources assigned to audit project, f) monitoring inflow and review of audit workpapers for quality and adherence to standards, g) set-up and administer weekly audit status meetings, h) drafting initial audit report, i) ensuring timely issuance of report, and j)  conducting remediation testing for identified issues.
    • 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.
    • Develop draft audit reports by identifying and gathering support for potential issues, ensuring findings are appropriately documented, and recommending value-added solutions.
    • Ensure the overall quality, consistency, risk management and adherence to department and professional standards and identify opportunities for audit process improvement.
    • Establish and maintain strong relationships with business unit management.
    • 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 company information.
    • Support management initiatives and perform administrative responsibilities as needed.
    • Assist in special projects and non-finance and operations related audit projects as needed; perform other duties as assigned.
    • Perform duties & responsibilities specific to department functions & activities.
    • Perform other duties & responsibilities as required or assigned by supervisor.
    • 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. 



    • 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 compliance audit
    • Internal control or risk management related experience
    • Knowledge of Banking and Finance Services Industry
    • BS/BA degree in related field
    • Self-starter who excels at learning new processes and business functions
    • Excellent written and verbal communication skills
    • Excellent presentation skills
    • 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
    • Experience leading or managing audit engagements with assigned staff
    • Ability to multi-task and work on multiple projects simultaneously
    • Advanced level of PC skills with Microsoft Office applications
    • Demonstrated integrity within a professional environment
    • Professional certifications, such as CPA, CIA, CISA, CFE, etc. preferred
    • Team player
    • History of providing extraordinary service
    • Furthers the First Republic Bank culture and values


    • The ability to learn and comprehend basic instructions; understand the meanings of words and respond appropriately; and perform basic arithmetic accurately and quickly
    • Vision must be sufficient to read data reports, manuals and computer screens
    • Hearing must be sufficient to understand a conversation at a normal volume, including telephone calls and in person
    • Speech must be coherent to clearly convey or exchange information, including the giving and receiving of assignments and/or directions
    • Position involves sitting most of the time, but may involve walking or standing for brief periods of time
    • Must be able to travel as position requires; approximately 10%
    • May be required to lift 15-25 lbs.


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