Staff Auditor

Staff Auditor

Purpose:

Under direction of the Director of Audit & Compliance Services, the staff auditor is responsible for the timely execution of internal audits in accordance with the annual audit plan, as well as assisting with other audit department matters and projects. The Staff Auditor performs auditor-in-charge duties when Director is unavailable.

Primary Duties and Responsibilities:

Evaluate financial and managerial internal controls, operations, organization’s structure, policies, procedures, and processes for effectiveness and possible improvements

Performs audit, including planning, fieldwork, and reporting phases according to the approved audit plan. Examine credit union operations to determine compliance with credit union policies, procedures, and regulatory guidelines.

Assists with developing the annual audit risk assessment and audit plan. Assists in audit program development or modification, data collection, procedural analysis, internal control appraisal, and preparation of findings summary and recommendations for corrective action

Performs daily, weekly, monthly, quarterly, semi-annual, and annual reviews of various reports and activities as a means of monitoring for potential fraudulent or unauthorized activity.

Develops and prepares written audit reports, in collaboration with the Director, outlining strengths and weaknesses in the control environment and compliance with credit union policy, procedures, and applicable laws and regulatory requirements.

Provides timely and effective internal support on all department matters including audit plan tracking, findings and remediation action dates, record retention, and meeting planning

Maintains a working knowledge of developments in regulatory requirements, general accounting, and audit principles.

Serves as a liaison for department interactions with external auditors, regulators, official , and other stakeholders

Assists with preparation of reports and presentation for Supervisory Committee meetings.

Maintain a working knowledge of Credit Union history and all company policies and procedures

Continually develops skills and knowledge through internal, external, and self-initiated education and/or training opportunities.

Other duties, as assigned

Other Duties and Responsibilities:

Provide and embrace ideas and suggestions for continuous improvement

Report work-related issues to immediate supervisor

Work additional hours as necessary

Assists with special projects (i.e., research, data input)

Core Competencies

Organization and Time Management: Superior ability to multi-task and stay organized in a fast-paced environment

Interpersonal Skills: Excellent written and verbal communication skills; ability to relate to staff and stakeholders at all organizational levels

Technological Competency: Ability to learn systems and programs used by the department, and adapt to changing technologies

Confidentiality: Maintains a high level of confidentiality in all matters, at all times

Education and Experience:

Bachelor’s degree or higher in a business-related major, concentration in Accounting, Finance, IT or Business preferred

CPA, CIA, CFE, CCUIA, CUCE highly desired

Minimum 3 years audit, accounting, compliance, risk-management experience or equivalent combination of education and work experience; preferably within the Financial Services industry

Proficient in MS Word, Excel

Annually complete 20 hours of continuing education in the auditing/accounting/compliance field

Annually required to complete Bank Secrecy Act (BSA), Office for Foreign Asset Control (OFAC), Customer Identification Program (CIP) and Red Flag Identity Theft training

Interpersonal Skills:

Courtesy, tact, and diplomacy are essential elements of the job.

Other Special Skills and Abilities:

Must be a self-starter, able to prioritize, able to multi-task and be able to work independently

Solid analytical and problem-solving skills preferred, must have the ability to assess risk, understand and document internal controls

High degree of discretion and ability to handle sensitive information learned through the audit process in confidence.

Maintains strong working relationships with staff, management, and external auditors/examiners

Strong interpersonal, verbal, and written communication skills necessary, must be able to write recommendations and reports in a clear, concise manner

Physical Demands:

The need for physical stamina is low to moderate. Must be able to operate office equipment including computers, phone, faxes, scanners, and copy machines.

Working Conditions:

No adverse working conditions. Typical office environment.