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Auditor
Jersey City NJ, Coppell TX, Tampa FL
Qualifications
o Minimum of 7 years of audit experience
o Bachelor's degree required. Master’s degree preferred.
o Background particularly in market, credit, liquidity, quantitative risk management, risk modelling.
o Background in financial services, particularly in securities clearance and settlement, corporate actions, and/or securities processing.
o Certifications, such as Certified Public Accountant, Certified Fraud Examiner, Certified Internal Auditor, Certified Information Systems Auditor, Certified Financial Analyst, or Certified Anti-Money Laundering Specialist.
o Previous internal or external audit experience is required. Previous job experience for this position can and should vary greatly to meet the department’s goal of having a team with diverse perspectives and work experiences.
Duties
Audit Execution
o Manage the audit lifecycle and communicate potential issues to the Team Leader and business.
o Contribute to the development of the annual audit plan and periodic reassessment of risk coverage.
o Consistently demonstrates an ability to complete high quality and risk-focused audits on time and on budget, notifying the Team Leader promptly of any possible impediments to success or when budgets might be exceeded
o Review audit work performed by his or her staff to ensure audit documentation standards are adhered to
o Develop and effectively communicate audit issue and reports with the Team Leader and business to facilitate timely report clearance.
Strategic Control Impact
o Identify emerging and top risks, as well as controls to manage risks
o Develop strong relationships with business partners.
o Monitor and review staff work to ensure timely remediation of control issues
o Support my client’s risk management priorities:
o Take ownership for identifying risk, such as credit, market, liquidity, operational, legal, compliance, technology, and systemic, within his or her assigned area of responsibility
o Adhere to departmental risk policies, procedures and best practices
o Identify opportunities for improving existing processes or creating new ones that more effectively anticipate, manage and reduce risk to my client and its participants
o Maintain awareness of regulatory issues and comply with regulatory requirements
o Comply with corporate initiatives, such as the New Initiatives Process (NIC), Management Self Identification of Issues, Management Control Awareness & Responsiveness (MCAR), etc.
o Demonstrate the behaviors of and build competency with creating a risk management mindset
Quality Process
o Oversee all work performed by his or her staff to verify compliance with IAD’s policies and procedures, specifically for audit documentation and issue remediation standards.
o Works with Audit leadership to continuously review and improve processes
Individual & Team Development
o Develops and maintains effective working relationships with IAD peers and business lines.
o Identify and seize opportunities to grow skills, talents, and knowledge about audit planning, reporting, and the products and functions he or she audits
Business Unit: Internal Audit
The Internal Audit Department's (IAD) mission is to deliver independent assessments of the organization’s overall control environment and to promote proactive risk identification and mitigation.
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