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Audit Supervisor - Risk and Compliance - Phoenix Arizona
Company: Disability Solutions Location: Phoenix, Arizona
Posted On: 01/29/2025
Job Title:Audit Supervisor - Risk and ComplianceLocation:CityScapeWhat you'll do:As an Audit Supervisor, you will assist in the planning, execution, and reporting for various audits in the AML/BSA coverage areas, supporting the execution of the department's annual audit plan. You will prepare for, lead, and wrap-up many aspects of your assigned audits, all within audit methodology. You will evaluate processes and controls for adherence to bank policies & procedures, and compliance with federal & state banking regulations. You will also assist in completing root cause analysis for identified issues to focus on strengthening and improving controls. You will report to an Audit Director or Senior Audit Director; however, you will lead a team of Auditor(s) and Senior Auditor(s), which can change with each audit, managing and reviewing their work. In addition, you will have the opportunity of working with our audit leaders across the department, participating in audits in finance, banking operations, credit administration, risk management, and compliance disciplines. Your position promotes risk awareness in the enterprise through a positive and collaborative relationship with department heads, business leadership, and staff. In addition to audit execution, you will meet regularly with department heads and business leaders to discuss audits, assess risks, evaluate issue remediation progress, provide feedback, and gather insights on business activities. - Support the Audit Director and Associate Audit Director with audits across the organization and complete multiple audit assignments and/or projects.
- Ensure consideration and inclusion of data analytics along with other critical plan inputs for each assigned audit.
- Know, apply, and ensures compliance with audit methodology.
- Instrumental in the completion of all phases of the audit in compliance with audit methodology. Discuss and review the audit scope with Associate Audit Director and Audit Director.
- Prepare audit planning documentation and risk & control matrix (including test approach for each control), delegate test work as appropriate, and may test higher risk or complex controls.
- Provide guidance and coaching to supporting staff throughout assigned audits. Review staff work papers and provide comments to ensure compliance with stated requirements and objectives, IIA standards, and audit methodology.
- Provide feedback/comments to the assigned audit team.
- Clarify and clear review notes provided by the Associate Audit Director or Audit Director.
- Ensure appropriate organization and documentation within the audit software (Wdesk/Workiva).
- Perform additional testing as determined to be necessary.
- Draft clear and concise audit issues, ensuring the root cause is identified.
- Assist in drafting comprehensive audit reports, including issue ratings and overall report ratings.
- Work with management to create effective management action plans in a timely manner.
- Monitor progress made by management toward completing action plans and manages assigned tests of validation prior to closing issues.
- Follow up on the disposition of exceptions noted during audits, including internal, external, and regulatory examination reports.
- Provide ad-hoc reports and status updates to supervisors.
- Comply with department annual training requirements and proactively draft and discusses performance goals with Audit Director.
- Attend and participates in team, peer, and one-on-one meetings.
- Own or contributes to department initiatives focused on audit methodologies and supporting technology-based solutions as applicable. What you'll need:
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