Internal Audit Supervisor

Primary Purpose:

Responsible for assisting the Internal Audit Manager and Chief Audit Executive in planning and conducting operational, compliance, and financial audits to determine the adequacy of the financial institution’s systems of internal control and the degree of compliance with controls, applicable federal and state laws and regulations, and generally accepted accounting principles (GAAP). Responsible for making recommendations for improved controls, operating procedures, accounting records, and systems designs.

The good-faith compensation range for this role is expected to be $82,000-$117,500, based on the role, market, internal equity, and candidate qualifications.

Essential Responsibilities:

• Design, supervise and/or perform audits; evaluate systems of internal controls and operational and administrative functions; test for compliance with institutional policies and procedures, state and federal laws and regulations, contractual requirements, and GAAP.

• Supervise Internal Auditors and lead day-to-day activities required to complete assigned internal audits and proactively address challenges of assigned staff related to audit activity and skills.

• Assist Internal Audit Managers in coordinating activities related to audits including discussions with management, preparation of reports, and review of management responses.

• Handle audits or projects of higher complexity.

• Performs Quality Control Reviews of Audit Workpapers for assigned internal audits to ensure compliance with Audit Department Procedures and Internal Audit Standards. 

• Performs independent Quality Assurance Reviews of audits according to Audit Department procedures as requested by Chief Audit Executive.

• Assist Internal Audit Managers in training and mentoring Internal Auditors.

• May assist with preparation for Audit Committee meetings, regulatory examinations and outsourced internal audits. 

• May participate in special reviews or projects.

• Perform any other assignments or tasks as needed or requested by management to assist in accomplishing the Internal Audit Department’s mission, objectives and goals.

• Maintains training to ensure audit skills, business acumen, and interpersonal skills remain relevant and to meet Continuing Professional Education requirements for any certifications held.

• Adheres to applicable federal laws, rules, and regulations including those related to Anti-Money Laundering (AML) and the Bank Secrecy Act (BSA).

• Other duties as assigned.

Minimum Required Skills & Competencies:

• Four or more years of internal auditing and/or public accounting experience
• A college degree in Business Administration, Accounting, Finance, or related field
• Should exhibit initiative, dependability, ability to supervise a team, and a demonstrated desire to stay aware of and follow bank policies and procedures
• Must possess qualities of integrity, discretion and strong work ethics
• Ability to interact with all levels of employees, directors, and external stakeholders with courtesy, poise, self-confidence and professionalism in manner, speech, appearance while performing duties and maintain relationships
• Ability to comprehend and interpret policies, procedures, laws, regulations, and guidelines
• Good analytical, time management, project management, research skills
• Ability to produce accurate work, to evaluate the materiality and significance of deviations from established policies, procedures, and regulations and to make recommendations for corrective actions

Desired Skills & Competencies:

• Professional certification – Certified Public Accountant, Certified Information Systems Auditor or Certified Internal Auditor
• Knowledge of audit software
• Works well individually and in team environment
• CAMS (Certified Anti-Money Laundering Specialist) Certification
• CRCM (Certified Regulatory Compliance Manager) Certification

Physical Requirements:

• Express or exchange ideas by means of the spoken word via email and verbally.
• Exert up to 10 pounds of force occasionally, use your arms and legs, and sit most of the time.
• Have close visual acuity to perform activities such as analyzing data, viewing a computer terminal, reading, and preparing documentation.
• Not substantially exposed to adverse environmental conditions.
• The physical demands described here are representative of those that must be met by an employee to successfully perform the essential responsibilities of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform essential responsibilities.