Compliance Auditor

Objective:Performs compliance and operational audits as directed by the Director of Internal Audit, the Audit Committee, Senior Management and as required to address unusual circumstances. Provide systematic and objective appraisal of compliance, operations and controls within the organization. Determine the effectiveness of the bank’s internal controls and the degree of compliance with banking laws and regulations, in addition to bank policies and procedures. Issue written audit reports to management containing recommendations for improved policies, procedures, internal controls, reduced costs, and increased efficiencies. Continue development, both personal and professional, to enhance the quality of the audits performed.


Essential Job Responsibilities:
?Establish audit objectives with respect to validity of financial data, compliance with policies and procedures and laws and regulations
?Review adequacy and effectiveness of internal controls and the controls over the safeguarding of assets
?Perform the required audit procedures, including the testing of unbiased samples
?Coordinate with the audited area to obtain documentation of workflow, normally by observation of job processes and interviewing staff members; may also include completion of internal control questionnaire
?Collect, analyze, interpret, and document information to support audit results
?Prepare written audit report to management
?Arrange meeting with audited area’s management to discuss report and options for resolution of audit issues
?Monitor outstanding issues and exceptions until resolved
?Complete the referencing and filing of audit work papers
?Assist with identification and investigation of fraud when requested by management
?Assist external auditors by completion of advance work papers and by aiding them when they are on-site
?Review information from various sources regarding changes and updates to Laws and Regulations relating to our industry
?Continue education by attending audit related seminars and training sessions

Additional Requirements: Performs other duties as required.
REQUIREMENTS
Education and Experience:
?Bachelor’s degree required.
?General banking knowledge is preferred

Job Skills:
?Must be proficient in Microsoft Office products
?Ability to maintain confidentiality
?Good communication skills, ability to work effectively with both employees and managers
?Must be detail oriented, analytical and organized
?Must be able to travel 30%, to include independent traveling as required