Lead Auditor

SUMMARY

The Lead Auditor is responsible for helping the Internal Audit Department achieve its annual Audit Plan. For each audit engagement, the Lead Auditor is responsible for independently conducting audit engagement planning, assessing risks and controls, developing audit tests especially for complex new audit areas and documenting test results, carrying out audit field work and developing audit reports for presentation.  The Lead Auditor should be able to identify control weaknesses and be able to communicate audit findings effectively to members of management in an objective manner.  The Lead Auditor should have strong project management skills and complete assigned audits within audit timelines and budgets.  The Lead Auditor should be able to direct and oversee the work of other assigned auditors in addition to providing them with necessary guidance and constructive feedback to assist them with their professional growth.  Strong communication skills are key in effectively and efficiently carrying out the assigned responsibilities, applying objectivity in the audit approach and keeping Audit Management apprised of the ongoing status, foreseeable delays / challenges in meeting the approved timeline and budget, and potential issues arising during audit fieldwork.  The Lead Auditor will help Internal Audit management with assigned administrative tasks and provide input in developing the annual audit plan as well as the strategic plan. The Lead Auditor should have a sound knowledge of all aspects of banking including lending, deposits and regulatory compliance.  Experience in compliance, lending and operational auditing is preferred.  The ideal candidate should be able to multi-task, as it is often required to work on more than one audit at a time to achieve completion of the annual Audit Plan. 

Ensures compliance with established Company policies and procedures.  Demonstrates knowledge of, adherence to, monitoring and responsibility for compliance with state and federal regulations and laws as they pertain to this position including but not limited to the following: Regulation Z (Truth in Lending Act), Regulation B (Equal Credit Opportunity Act), Home Mortgage Disclosure Act, Real Estate Settlement Procedures Act, Fair Credit Reporting Act, Bank Secrecy Act in conjunction with the USA PATRIOT Act, Anti-Money Laundering and Customer Information Program, Right to Financial Privacy Act (state and federal) and Community Reinvestment Act.

REQUIRED DUTIES

1.    Accountable for the development and coordination of the Company’s internal auditing activities. Ability to articulate complex concepts in a concise manner, both written and verbally.

2.    Effectively interacts will all levels within the organization and exhibits confidence, poise and diplomacy when interacting with management.

3.    Demonstrates excellent interpersonal communication skills when communicating with audit clients and management and strong writing and documentation skills.

4.    Independently conducts planning, performs and documents process walkthroughs, assesses risks, and develops and executes risk-based audit to evaluate the control environment and achieve the defined audit objectives for assigned complex projects especially for areas where no previous audit has been performed.

5.    Trains and supervises less experienced auditors working under their directions on assigned projects and provides them with timely and constructive feedback to assist them with their professional growth.

6.    Drafts audit reports that adequately describe key risks, issues and contain recommendations that address root cause.

7.    Possesses strong analytical and organizational skills and attention to detail

8.    Ensures compliance with Sarbanes-Oxley, GAAP, FASB, FFIEC, other key laws, rules and regulations as well as Company policies.

9.    Possesses knowledge of financial services and/or banking operations, as well as various Compliance regulations

10.    Ensures audits and related activities are completed with quality within the audit schedules and budgets, including performing issues follow-up and validation.

11.    Ensures audit activities comply with Internal Audit Department standards and audit workpaper standards.

12.    Assists the Audit Department in supervising, directing, training, mentoring and evaluating staff and in developing a strong team effort among staff members.

13.    Assists Internal Audit management with assigned administrative tasks and provides input into Audit's methodology and strategic plan.

14.    Thinks strategically and provides input in developing the annual audit plan.

15.    Maintains effective and professional relationships with the audit clients; managers and staff of the Company’s public accountants; representatives of federal and state regulatory agencies; and demonstrates ongoing professionalism.

16.    Leads effective meetings with department management and develops strong, independent relationships with bank management.

17.    Ability to travel within our Southern, Northern California, and national regions for audit assignments.

18.    Processes, solves and answers complex transactions, problems or inquiries.

19.    Interacts with Regulators and auditors.

20.    Demonstrates knowledge of and adherence to EEO policy; shows respect and sensitivity for cultural differences; educates others on the value of diversity; promotes working environment free of harassment of any type; builds a diverse workforce and supports affirmative action.

21.    Treats people with respect; keeps commitments; inspires the trust of others; works ethically and with integrity; upholds organizational values; accepts responsibility for own actions.

22.    Follows policies and procedures; completes tasks correctly and on time; supports the company’s goals and values.

23.    Performs the position safely, without endangering health or safety to themselves or others and will be expected to report potentially unsafe conditions.  The employee shall comply with occupational safety and health standards and all rules, regulations and orders issued pursuant to the OSHA Act of 1970, which are applicable to one’s own actions and conduct.

24.    Performs duties specific to the position and other functions as assigned.

MINIMUM REQUIREMENTS

These specifications are general guidelines based on the minimum experience normally considered essential to the satisfactory performance of this position.  The requirements listed below are representative of the knowledge, skill and/or ability required to perform the position in a satisfactory manner.  Individual abilities may result in some deviation from these guidelines.

•    Bachelor’s degree from a college or university preferred; and 10+ years of related experience in Company or financial institution internal auditing; or the equivalent combination of education and experience.  Work-related experience should consist of an in-depth background in Audit and supervisory skills.  Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry.

•    Knowledge of Company bank operations and regulations; auditing credit portfolios (mortgage and commercial) is a plus

•    Experience with SOX 404 testing and internal control evaluation.

•    Professional certification (CPA, CIA, CISA, CAMS, CRCM, FRM or CFE) or advanced degree is preferred.

•    Ability to display a high level of confidentiality.

•    Excellent organizational and time management skills, with the ability to provide leadership and training for employees; demonstrated ability in organization and delegation skills.

•    Intermediate skills in computer terminal and personal computer operation; word processing and spreadsheet software programs. Proficiency in Microsoft Word, Excel and PowerPoint.  

•    Intermediate typing skills to meet production needs of the position.

•    Intermediate math skills; ability to calculate interest, commissions, proportions, and percentages; balance accounts; add, subtract, multiply and divide in all units of measure, using whole numbers, common fractions and decimals; locate routine mathematical errors; compute rate, ratio and percent, including the drafting and interpretation of bar graphs.

•    Exceptional verbal, written and interpersonal communication skills, with the ability to apply common sense to carry out instructions and instruct others, train personnel, write reports, correspondence and procedures, and speak clearly to clients and staff.

•    Ability to deal with complex problems involving multiple facets and variables in non-standardized situations.

•    Ability to work with no supervision while performing duties.

Pay $125,400 - $177,200 per year. The salary reflects the full, reasonably expected salary range for this position. Salary is based on the candidate’s current experience, education, skills, and abilities related to the position. Successful candidates may be eligible for bonus, stock, commissions, and incentives at the Company’s sole discretion. We offer a comprehensive benefits package, which vary depending on the position ultimately offered.  All employees are offered paid sick time off.  Depending on the position offered, benefits packages may include vacation leave; paid holidays; medical, dental, vision, life and disability insurance packages for employees and dependents; various other voluntary benefit offers, and optional retirement accounts.

We are an Equal Opportunity Employer. All applicants will receive consideration for employment without regard to race, color, ancestry, religion, sex, national origin, sexual orientation, age, marital status, disability, gender identity, gender expression, genetic information, or military or Veteran status, or any other characteristic protected by law.

The application window for this position is expected to close on January 18, 2027.