Lending Audit Supervisor

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Job Description

Supervisors are given a wide variety of diversified auditing assignments and are responsible for performing complex-level professional internal audit work. Supervisors will lead audits and provide supervision and training while overseeing fieldwork. Additional responsibilities include development of internal audit procedures and scopes; preparing and presenting during internal audit kick-off and exit meetings with management, reflecting the results of work performed in internal audit reports, and presenting those reports to management and/or board committees. Performance is judged based on the quality of work, application of banking and audit knowledge, and ability to meet time constraints.

Essential Duties and Responsibilities:

• Strong project management skills.
• Ensures all assigned and supervised documents and activities are performed in compliance with applicable laws, regulations, policies and procedures as applicable to this position, including completion of required compliance training.
• Assumes responsibility for supervising projects and special assignments using established policies and procedures.
• Coordinates various phases of projects, reviews working papers for accuracy and completeness, and reviews audit reports for accuracy and suitability of presentation to management and board committees.
• Provides supervision and the on-the-job training to staff assigned to projects.
• Assigns work to staff members based on their knowledge and capabilities.
• Supports training of staff members, offers guidance and direction, gives constructive criticism of working papers.
• Prepares written reports and/or sections to be included in a report.
• Communicates project’s progress, problems, resolutions, and other business concerns to Managers, Directors, or Chief Audit Executive.
• Reviews with Manager, Director and Chief Audit Executive significant findings that raise questions involving material misstatements, significant deficiencies or corporate governance related issues.
• Monitors management’s response to any internal or external audit findings, ensuring all findings are assigned to appropriate staff for follow up.
• Develops relationships with business units and provides high quality client service. Adding value to the Bank is an integral part of the job requirements.
• Learns through direct supervisor proper delegation and management of workload and demonstrates ability to properly delegate and manage workload.

Other Responsibilities:

• Pursues professional development opportunities, including external and internal training and professional association memberships and shares information gained with management.
• Assumes individual responsibility to learn all new technology introduced by the Bank as appropriate for Internal Audit.
• Prepares other reports and projects as requested from time to time by Managers or Directors.
• Such other duties as may be assigned.
• Encouraged to join a community and/or professional association with Manager approval prior to joining.

Career Track Guidelines:

• Performs all duties described above.
• Develop technical proficiency and competence.
• Work effectively as part of the Internal Audit team.
• Contribute to positive work environment by assisting other Supervisors, Senior Associates, Associates and Interns.
• Gain thorough understanding of the business units and develop rapport with those units.
• Demonstrate an understanding of appropriate business etiquette, including proper dress and business correspondence.
• Seek to learn through training and individual study.
• Actively participate in department community involvement program.

Qualifications:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirement list below is representative of the knowledge, skill, and/or ability required.

Skills:

• Advanced knowledge of bank lending products, credit risk management, and lending operations. 

• Strong understanding of banking regulations and supervisory guidance related to lending and credit risk. 

• Excellent analytical, audit planning, and organizational skills. 

• Strong written and verbal communication skills, including executive-level reporting. 

• Ability to evaluate complex lending processes and assess control design and effectiveness. 

• Strong project management and time-management capabilities. 

• High degree of professional judgment, independence, and ethical standards. 

Education and Experience:

• Bachelor’s degree in business, finance, accounting, or a related field preferred. 

• 5+ years of progressive experience in Internal Audit, bank examination, credit risk management, or public accounting with a focus on financial institutions. 

• Prior experience auditing lending, credit administration, or loan operations for a financial institution strongly preferred. 

• Banking or financial services audit experience required. 

Certifications:

• CPA or CIA strongly preferred.
• CFE, CRCM or other relevant professional certifications a plus.
• If CPA, must be a member in good standing with the AICPA and/or applicable state societies.

Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications.