The Senior Auditor uses objective standards and guidelines, which are applied consistently in the review of operations. Audit reports, efficiency enhancement suggestions, and audit findings/recommendations are finalized at the conclusion of operational audit reviews. The Senior Auditor may supervise less experienced audit staff or other personnel assigned to audits, and complete Quality Assurance Reviews of work papers completed by other audit staff as requested to do so. Senior Auditors also are involved with certain aspects of administering the functions of the Audit Department as assigned by the Audit Manager. Senior Auditors often represent the Audit Department on project teams and other meetings/presentations.
Key Responsibilities & Accountabilities:
As the auditor-in-charge, reviews and assesses the design and operational effectiveness of departments and/or processes through periodical audits of each.
Conducts audits of all sizes and complexity. The Senior Auditor is capable of conducting all operational audits within the company. Recommends scopes of audit for specific functions within assigned audit responsibility.
Prepares work paper documentation to support audit work with evidence of deficiencies in controls, duplication of effort, extravagance, fraud, or lack of compliance with laws, government regulations, and management' s policies or procedures. Work paper documentation must comply with internal audit standards.
Reviews records of departments subject to audit for purposes of recognizing design and operation effectiveness/inefficiencies and making recommendations for improvements.
Maintains good working relationships with all employees to foster an open dialogue between audit and other personnel.
Ability to work independently, organize tasks efficiently, and perform the audit functions accurately.
Coordinates and analyzes the preparation of periodic reports on specific company activities as scheduled by the Audit Manager.
Provides management with recommendations for revisions to policy and/or procedures when appropriate.
Develops audit and analytical programs as needed for each audit.
Works in conjunction with Compliance Officer to ensure compliance with financial institution laws and regulations.
As requested by the Audit Manager, makes presentations to various groups and departments on internal controls and audit findings and recommendations.
Supports Audit Manager in budget preparations and audit scheduling as requested to do so.
Represent the Audit Department on project teams and in meetings, as assigned.
Senior Auditors are charged with training less experienced audit personnel in audit routines and conducting audit reviews.
Specialty type audits that are more complex than more routine audit work.
Interface with other Audit Groups on audits in other parts of the company or in meetings.
Complete all mandatory training within a timely basis, as instructed.
Comply with code of conduct policies/procedures.
Actively identify incidents outside of established policies & procedures and report to management immediately.
Familiar with & comply with laws, regulations, and internal policies & procedures that are applicable to required job duties.
Understand & comply with all company anti-money laundering (AML), compliance, and all other applicable laws, including, but not limited to, the completion of all required AML & Sanctions training.
Job Knowledge, Skills, and Abilities:
Excellent understanding of accounting principles and analytical techniques required.
Proficient in computer usage and programs equivalent to Microsoft Word and Excel.
Ability to read and interpret documents such as safety rules and procedure manuals.
Ability to write routine reports and correspondence.
Ability to speak effectively before groups of customers or employees.
Excellent oral and written communications skills relating to the ability of handling criticisms of and recommendations to RDS personnel in a tactful/diplomatic manner. This also includes public speaking (training, presentations) at all organizational levels.
MATHEMATICAL SKILLS AND REASONING ABILITY
Ability to calculate figures and amounts such as discounts, interest, commissions, ratios, and percentages.
Ability to solve a variety of problems, collect data, determine facts, and draw valid conclusions.
Ability to interpret a variety of instructions in mathematical, written, or oral form and deal with multiple concrete variables in situations.
OTHER SKILLS AND ABILITIES
Ability to travel long distances, including overnight travel which may include air travel. Routine travel to RDS locations using personal vehicle is required. Travel outside of assigned region is estimated at 25%.
Bachelor' s degree in Business Administration, Finance, Computer Science or Accounting is required with minimum of 5-7 years prior auditing experience required.
Required to hold or be pursuing one of the following certifications:
Certified Bank Auditor
Certified Internal Auditor
Certified Public Accountant
Certified Information Systems Auditor
Certified Regulatory Compliance Manager