Senior Internal Auditor

Purpose : The Senior Internal Auditor is responsible for conducting and reporting on scheduled audits, Sarbanes - Oxley Section (SOX) 404 key control testing, and departmental projects. Assignments range throughout varying areas of the Company, including audits technical in nature, information technology, highly regulated (consumer compliance), fee-based business, complex bank products or of non-bank subsidiaries. The Senior Internal Auditor acts as a mentor to others within audit areas of proficiency.

Essential Functions :

• By developing system queries of data, utilizing and interpreting various audit, accounting and regulatory compliance reference materials and resources, and reviewing prior audit issues, develops the scope of assigned internal audits and SOX 404 testing, selects and develops appropriate audit procedures for the work programs to achieve audit objectives within hours budgeted. Discusses and reviews work programs with department supervisory staff and / or others assigned to the audit prior to commencing test work in order to maintain consistent, effective audit coverage. Recommends changes and improvements to established work programs and audit testing approaches as appropriate.
• Evaluates the design and operating effectiveness of the system of internal controls, adherence to established policies and procedures, and regulatory guidance and conducts test work as outlined in the audit work program. Utilizes judgment as to expansion of scope, further test work needed based on trends or exceptions identified. Prepares work paper documentation via software applications to support test work performed and conclusions reached. Explains, clarifies or corrects documentation to clear any review notes generated by the department supervisory staff or audit lead personnel's review of the work papers, conclusions and recommendations.
• Provides information and supporting documentation for all issues uncovered as a result of the audit to prepare the preliminary exit sheets, which detail the level of risk, and proposed solutions to correct the existing issue and to prevent future occurrences. Leads exit meetings with management and other Internal Audit department supervisory staff to discuss proposed recommendations to come to agreeable solutions. Prepares written audit reports to summarize the audit scope, control findings, recommendations and management commitments.
• Develops and performs audits of technical nature, information technology, highly regulated, non-bank areas or of new products or systems as assigned. Performs research and interprets the area's regulatory or operational requirements. Maintains an awareness of requirements and changes within those assigned areas. Trains Audit staff to complete audits of mentioned areas.
• Assists in mentoring and training audit staff.
• Is a contributing member of project teams as assigned. Provides consulting services to management in developing appropriate internal controls for new products and / or processes as well as enhancements to existing products and / or processes.
• Demonstrate the standards and principles of the Five Star Bank experience in every interaction with internal and external customers, associates, and stakeholders. Incorporate the high-performance behaviors of teamwork, leading by example, and service in every facet of work.

Job Related Qualifications :

Required :

Certified Public Accountant (CPA)

Competencies :

Physical Requirements :

Benefits :

This job description is not exhaustive. The Senior Internal Auditor may be required to perform other duties as assigned. The expected rate of pay for this position is shown above. Compensation offers are based on a wide range of factors including relevant skills, training, experience, education and, where applicable, licenses or certifications obtained. Market and organizational factors are also considered. In addition to your base rate of pay and a competitive benefits package, successful candidates may be eligible to receive cash or equity-based incentives based on the role and performance.