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Search Jobs 2018-06-20T09:41:28-05:00

Senior Audit

Saint Louis, MO

Posted: 07/21/2019 Job Number: 11107 Pay Rate: $65,000.00 - $75,000.00


Under general direction, the Sr. Internal Auditor conducts and supervises operational, financial, and compliance audits of various internal departments to evaluate the adequacy and effectiveness of the organization' s governance, risk management process, system of internal control, and quality of performance in carrying out assigned responsibilities in order to achieve the organization' s stated goals and objectives.

The Sr. Auditor helps guide the work of more junior-level auditors and staff, and manages audit assignments under minimal supervision of the Audit Manager / Director, fostering positive interactions with business units. Areas of responsibility may include back office (e.G., retail brokerage, institutional business, asset management), front office (finance, operations, IT), and/or banking/trust services. Scope of work is senior level.

: Identifies and evaluates the organization's risk areas and provide key input into annual risk assessment activities and the development of the annual audit plan.

: Coordinates the audit process with the external auditors and other outside 3rd parties.

: Develops risk-based audit programs for projects to include risk assessment, scope of work to be performed, staffing and time requirements.

: Leads audit presentations and prepare audit issue memos and draft reports for Audit Manager's / Director's review and distribution to managements.

: Assists the Audit Manager / Director with coordinating departmental work schedules to meet deadlines.

: Provides routine updates to the Audit Manager / Director regarding the progress of assigned audit tasks, significant issues identified, suggested practical business solutions and completion status.

: Supervises work of less experienced staff and provide feedback at the conclusion of audits.

: Responsible for Sarbanes Oxley Section 404 documentation and the evaluation/testing of internal controls.

: Responsible for timely execution of risk-based operational, financial, and compliance audits in accordance with the annual audit plan.

: Collects and analyzes data to detect deficient controls, duplicated effort, extravagance, fraud, or non-compliance with laws, regulations, and management policies.

: Inspects records, documents, and systems for efficiency, effectiveness, and use of accepted procedures.

: Examines records and interviews Company personnel to ensure proper recording of transactions and compliance with laws and regulations.

: Examines and evaluates financial and information systems, recommending controls to ensure system reliability and data integrity.

: Examines the systems and processes established by the organization to ensure compliance with policies, procedures, laws, and regulations that could have a significant impact on operations and reports and whether the organization is in compliance.

: Examines the accuracy, reliability, timeliness, and integrity of financial and operating information and the means used to identify, measure, classify, and report such information.

: Reports audit results to senior members of the audit group and/or the Director and recommends changes in or improvements to operations and financial activities.

: Prepares detailed reports of findings and recommendations for improvements.

: Evaluates the means by which management implements remedial actions where existing processes are determined to be ineffective.

: Maintains high level of integrity and professionalism to handle sensitive and confidential data/materials/information received and/or reviewed with business lines.

: Assumes additional duties as they arise, cross train within the department and be responsive to the needs of the entire department.

: Bachelor' s Degree in Accounting, Finance, Business Administration or related field required

: Advanced degree in the same or related disciplines is desired

: 5-7 years with internal audit, accounting or related business or regulatory field

: 2-3 years financial industry (banking or brokerage firm, or serving large financial services clients in a professional services firm) experience strongly desired

: Commitment to extend management and technical skills via professional certification and/or licensing, i.E., CPA, CIA, CFE or CISA - OR Series 7, 24, 27, 99 or other relevant license required

: Experience in reviewing audit work papers and experience in evaluating the design and operating effectiveness of internal controls.

: Demonstrated understanding of basic risk and internal control concepts.

: Knowledge of finance and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.

: Some travel by car and/or air in conjunction with local, regional and/or national travel is required.

Mark A Ryan
Senior Search Consultant

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