Staff Auditor II - Compliance

Bonus Type

Summary

Assure, advise and add value to our team! Looking for a job where a passion for innovation and opportunities for growth are valued and a culture of teamwork exists? Look no further.

Job Description

The Staff Auditor II - Compliance provides an objective evaluation of internal controls, risk management and governance processes through the assessment of operational efficiency, financial reporting, and compliance with legal and regulatory standards as well as detecting, investigating and deterring all types of fraud.   In executing the responsibilities of this position, the incumbent collects, examines and analyzes detailed policies, reports, financial statements, operating procedures and processes for audits related to compliance with lending, deposit, operational and fiduciary regulations which are routine in nature and have a moderate to low degree of complexity. 

The incumbent’s work incorporates auditing standards, guidance and frameworks issued by the Public Company Accounting Oversight Board (PCAOB) and the Committee of Sponsoring Organizations of the Treadway Commission (COSO), as well as state and federal banking regulatory agencies, including, but not limited to the Office of the Comptroller of the Currency and the Federal Reserve.

Team Culture

Assure, advise and add value is our motto.  We are a department of approximately 45 team members across specialized teams.  Collaboration and inclusiveness are the glue that keeps the department together. Flexibility and work-life balance add to the enjoyment of coming to work every day. Employees lead with heart and give back to our community in multiple ways. Your integrity, honesty, and taking responsibility for your actions will set you up for success. The management team focuses on providing well-rounded training, not only audit but technical and soft skills to enable you for success in this role and others.

How You'll Spend Your Time

• You'll collect, examine, analyze, and review documentation. You'll study policies and procedures, the Bank's risk and controls, and financial statements. You'll also spend time reviewing business processes, control framework, and business units across the company.
• Every day you will pursue our mission with your teammates and drive results consistent with our goals and objectives. You will take personal ownership of your work while looking for ways to improve processes and mitigate risks.
• With guidance from your manager and senior members on the audit team, you'll establish engagement objectives and create risk-based test plans.
• You will work with directed supervision to document audit results and internal control deficiencies and develop recommendations for changes to processes and systems. This will mitigate risk, improve performance and ensure the organization complies with all relevant regulations, including internal control deficiencies and other audit issues.
• You'll collaborate with the assigned audit team, assists with the presentations of the audit plan, audit findings, and management recommendations, in addition to exit interviews with appropriate Bank personnel.
• You will perform special projects as directed by management and researches current industry, financial reporting, and regulatory issues to build upon knowledge base and develop a basis for identifying trends.

Education & Experience Requirements

The required level of knowledge is normally acquired through a Bachelor's degree in Finance, Accounting or related discipline in addition to 1 to 3 years related experience.

• General knowledge of Generally Accepted Accounting Principles, Generally Accepted Auditing Standards, Public Accounting Oversight Board Standards, and Sarbanes-Oxley
• General knowledge of Compliance regulations (Consumer Compliance Audit) or Fiduciary and Securities regulations: 12 CFR 9, 12 CFR 12, Trust Indenture Act, ERISA, Transfer Agent Rules, Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA and Municipal Securities Rulemaking Board (Wealth Compliance Audit)
• Working towards or completed CPA, CIA, CISA, CRCM, CAMS, CFIRS or other pertinent certification
• Ability to apply learned things in moderately varied situations where reasoning and decision making are essential
• Strong ability to effectively communicate information and respond to questions in-person as well as small group situations
• Ability to effectively plan time, method, manner and sequence of own work assignments
• Strong Word, Excel, and PowerPoint knowledge

Working Conditions & Physical Requirements