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Senior Internal Auditor

Company: Tri Counties Bank
Location: Roseville
Posted on: June 22, 2022

Job Description:

Position SummaryUnder the direction of Internal Audit Management, the Senior Internal Auditor is responsible for the timely execution of risk-based internal audits in accordance with the annual audit plan, as well as assisting with other audit matters and projects. The Senior Internal Auditor will perform tests of the company's internal controls and processes to ensure that they are adequate, functional and adhere to regulatory requirements, established organizational policies and procedures and acceptable industry practices. Work performed will include coverage of functional and operating units and focusing on financial, IT, and operational processes. The Senior Internal Auditor will take responsibility as an Auditor-In-Charge to run the audits and direct/review the work performed by other Staff Internal Auditors, including resources from the co-sourcing firm.Major Responsibilities

  • Assists in developing and executing a risk-based audit program.
  • Take lead as an Auditor-In-Charge, carryout audits, document and maintain sufficient supporting documentation of tests of control design and operating effectiveness and compliance with policies and procedures.
  • Prepare audit working papers in appropriate formats that clearly demonstrate the testing, objective, and work performed.
  • Demonstrate appropriate professional skepticism by asking clarifying questions and analyzing information presented by management.
  • Assess internal controls and identify deficiencies based upon analysis of the audit evidence prepared and develop recommendations to address the relevant risk.
  • Build and maintain relationships with business partners at the manager and staff levels.
  • Clearly and concisely communicates audit findings to audit supervisor/manager.
  • Maintain current understanding of internal audit procedures and business risks associated with audited processes. Including a current understanding of industry best practices regarding control environment, fraud prevention/detection, regulatory requirements, etc.
  • Assists in the tracking of testing results and remediation of findings as a part of an ongoing Internal Audit program.
  • Model the company's values and demonstrate the highest ethical standards.
  • May assist in conducting internal audit risk assessment and the development of the annual audit plan.
  • May assist in developing internal audit scope, performing internal audit procedures, and preparing internal audit reports reflecting the results of the work performed.
  • May assist internal audit management with periodic reporting to the Audit Committee and championing internal control and corporate governance concepts throughout the business.
  • May work with management to develop agreed-upon action plans that will assist in meeting the company's goals and objectives, while enhancing the overall internal control environmentOther Responsibilities
    • Maintains a current understanding of stated procedures and policies, including operating systems, networks and application processing environments and information security issues.
    • Maintains a current understanding of Bank policies and procedures in compliance with all federal and state laws, including but not limited to Bank Secrecy Act (SARs, CIP, OFAC), Information Security (GLBA), Identity Theft Red Flags, Financial Elder Abuse Reporting, and any other applicable regulations that may be specific to your job duties.
    • Maintains a current understanding of industry "best-practices" regarding control environment, fraud prevention/detection, etc.
    • Periodically assist the audit supervisor/manager with special projects as assigned.
    • Performs other duties as assigned.Education, Experience And Other Skills Required
      • Current experience as Staff or Senior Internal Auditor with 7+ years of Internal Audit Experience in Banking/Financial Service industry.
      • Progressive experience and subject matter expertise performing and managing internal audits of banking products and services is required.
      • Experience in testing SOX 404 key financial or IT controls is also required.
      • Bachelor's degree required. Degree in accounting, business, information systems or computer science preferred.
      • Advanced Degree or professional certification in related audit area preferred (e.g. MBA, CIA, CPA, CRCM, CFSA, CISA, CISM, CISSP, and/or PMP certification or Commissioned Bank Examiner designation).
      • Possess an understanding of internal control concepts and experience in applying them to plan, perform, manage and report on the evaluation of various business processes/areas/functions.
      • Strong verbal and written communication skills, to effectively present to peers and management.
      • Employee has prior experience and, through this role, may be responsible for supervising other team members. Ability to work independently, with limited required direction and guidance, and provide appropriate direction to other internal audit project team members. Excellent analytical skills, including the ability to anticipate issues and to design appropriate solutions. Employee demonstrates subject matter expertise in one or more critical areas and is responsible for leading related subject matter Internal Audit engagements with limited supervision. May support departments in evaluating and recommending improvements to business practices, processes and control procedures. Maintains professional certification(s) and continue to develop and expand knowledge of the audit profession, information systems, bank regulatory issuances, our industry, and Company products and information through self-study, research, and continuing education efforts
      • Experience in performing multiple projects and working with varying team members/Ability to adapt and change quickly and multi-task.
      • Working knowledge of COSO (Committee of Sponsoring Organizations of the Treadway Commission) 2013 control framework, Sarbanes Oxley and FDICIA.
      • Systems knowledge and familiarity (e.g. MS Office)Company ProfileEstablished in 1975, Tri Counties Bank is a wholly-owned subsidiary of TriCo Bancshares (NASDAQ:TCBK) headquartered in Chico, California, providing a unique brand of customer Service with Solutions available in traditional stand-alone and in-store bank branches in communities throughout Northern and Central California.The Bank provides an extensive and competitive breadth of consumer, small business and commercial banking financial services, along with convenient around-the-clock ATM, online and mobile banking access.Tri Counties Bank has remained strong and profitable through a top-down commitment to its core values, sound business principles and responsible lending practices.Our success is also based on our involvement in the communities we serve. The personal touch comes naturally to Tri Counties Bankers. You may recognize us at business, school and non-profit events, baseball games and local eateries, skiing in the mountains, boating on the lakes, and fishing the local streams or attending an event in The City or on the peninsula.

Keywords: Tri Counties Bank, Roseville , Senior Internal Auditor, Accounting, Auditing , Roseville, California

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