AUDIT MANAGER-CORPORATE TREASURY & CAPITAL (INCLUSIVE OF BASEL)
The Audit Manager is primarily responsible for managing assigned personnel in accordance with Human Resources Policies and CAS Policies, Standards and Guidelines to achieve Audit Plan completion. The Audit Manager is expected to recruit, hire, and develop assigned staff to ensure audit engagements are completed in conformance with CAS Policies, Standards and Guidelines. The candidate would be responsible for executing a variety of Corporate Treasury and Capital (inclusive of Basel) audit projects (i.E. Enterprise-wide stress testing (including the Comprehensive Capital Analysis Review (CCAR) and Dodd-Frank Act Stress Test (DFAST), capital management, asset/liability management, liquidity risk management, market risk, investment portfolio, derivatives, etc.) that support the execution of the Audit Committee's approved plan.
1. Managing assigned personnel in accordance with Human Resources Policies and CAS Policies, Standards and Guidelines. Includes recruiting activities which utilize a variety of assessment tools and tests to assess candidates' capabilities and competence; providing quarterly feedback and annual performance evaluations for assigned personnel; and establishing and managing development plans for assigned personnel. Also includes addressing performance problems promptly.
2. Supervising Audit Project Managers, Senior Auditors and Staff Auditors in the completion of audit engagements. Includes planning audit engagements; assessing work performed by Audit Project Managers; performing sufficient work paper review to ensure work papers contain relevant facts to support audit scope and conclusions and adhere to CAS Policies, Standards and Guidelines; and drafting Audit Reports which communicate audit opinions and audit issues in a timely, clear and concise manner. Also includes monitoring progress of audit engagements against plan and schedule and making necessary adjustments.
3. Completing or assisting the Audit Director in Annual Planning. Includes identifying auditable entities and assessing risk within the auditable entities; determining appropriate audit cycles; and determining necessary audit resources and estimated expenses associated with completion of the Annual Audit Plan. Also includes performing continuous monitoring activities and adjusting the Audit Plan when appropriate.
4. Performing other duties as requested by CAS management.
1. Bachelor's degree (preferably in Accounting, Finance, MIS) or equivalent work experience.
2. Seven or more years of experience in internal auditing or public accounting.
3. CIA, CPA or other relevant professional designation.
1. Proven leadership skills
2. Excellent verbal and written communication skills.
3. Ability to manage multiple tasks and deadlines simultaneously.
4. Thorough understanding of IIA Standards and the common definition of internal controls.
5. Relevant Financial Service Industry knowledge (e.G., Lending, Operations, Trust, etc.), including understanding of risk theory, control frameworks, applicable financial services industry trends, laws and regulations; and impact of government legislation and regulation on business.