Effectively analyzes and assesses risk to develop audit procedures, execute test procedures, and conclude on the operating effectiveness of relevant controls
Plans the audit engagement by documenting the planning process
Effectively leads interviews/meetings to ensure relevant information is obtained for analysis
Works independently to execute audit procedures and updates the Audit Manager at appropriate times (e.g., weekly status of audit control testing, scope changes, identification of potential issues, etc.)
Performs an appropriate level of testing based on the scope and risk, without over- or under-auditing
Produces work paper documentation that is clear and concise, provides adequate detail of work performed and conclusions reached, meets IAD and professional standards, requires minimal revisions/review notes, and is sufficient to receive a satisfactory rating from external reviewers
Proposes solutions and recommendations to the Audit Manager and/or Audit Director when obstacles or problems are encountered throughout the audit
Proposes and identifies opportunities for continuous auditing
Runs continuous auditing query and reviews results for potential findings
Manages time (by keeping abreast of audit status and hours incurred) to meet established deadlines, milestones, and time budgets
Is responsive to client requests and fosters positive working relationships with auditees and the audit team
Supervises, as assigned, the performance and completion of the audit procedures to provide assurance that work was performed effectively, and relevant control weaknesses were identified and reported
Identifies control issues and findings timely, and ensures findings are based on relevant facts and are accurately characterized (based on risk)
Documents control findings in observation forms timely using the standard format (issue, background, findings, root cause, risk effect, recommendation)
Clearly communicates control findings to audit clients as they are identified, and works with clients to develop effective agreed-upon actions with related timeframes for completion
Shares IA process and business area knowledge with team members
Fosters a team environment, is inclusive, and works well with others
May provide support, such as coaching, mentoring, training, etc. to help other team members.
Qualifications
Bachelor's Degree in Accounting or Finance
CPA and/or CIA preferred, or currently in the process
4-10 years of audit experience in the financial services industry and/or large public accounting firm(s)
Broad knowledge of banking, accounting, and internal controls and the ability to apply knowledge in an audit function
Knowledge of consumer regulatory compliance requirements
Proficient in the use of Microsoft Excel and Word
Solid verbal, written, and interpersonal communication skills
Solid analytical skills
Ability to work with all levels of staff and Management
Ability to handle multiple tasks simultaneously and meet established deadlines
Seniority level
Mid-Senior level
Employment type
Full-time
Job function
Education and Training
Industries
Staffing and Recruiting
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