Senior Auditor

SUMMARY

The Senior Auditor is responsible for helping the Internal Audit Department achieve its annual Audit Plan.  For each audit engagement, the Senior Auditor is responsible for conducting audit engagement planning, assessing risks and controls, developing audit tests and documenting audit results, carrying out audit field work and developing audit reports for presentation.  The Senior 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 Senior Auditor should have strong project management skills and complete assigned audits within audit timelines and budgets.  The Senior Auditor should be able to direct and supervise the work of other assigned auditors.  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 Senior Auditor should have a sound knowledge of all aspects of banking including lending, deposits and regulatory compliance.  Experience in lending and/or branch operations as well as compliance 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.    Conducts planning, assesses risks, performs and documents process walkthroughs, and develops and executes risk-based audits to evaluate the control environment and achieve the defined audit objectives for assigned projects.

5.    Trains and supervises lesser experienced auditors working under their directions on assigned projects.

6.    Drafts audit reports that adequately describes key risks, issues and contains 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 auditing branch and/or  lending operations and 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, where needed, in supervising, directing, training, mentoring and evaluating staff and in developing a strong team effort among staff members.

13.    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.

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

15.    Plays a positive role in the development and growth of assigned department staff through excellent communication skills, both verbal and written, along with strong delegation skills assuring a highly cross-trained staff.

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

17.    Ability to interact with Regulators and auditors.

18.    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.

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

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

21.    Performs the position safely, without endangering the 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.

22.    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; or 7+ 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 branch operational auditing and auditing of lending processes (mortgage and commercial), including key laws, rules and regulations.

•    Experience with SOX 404 testing and/or internal control evaluation.

•    Professional certification (CPA, CBA, CIA, CISA or CFE) or advanced degree is a plus but not required.

•    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 $96,500 - $141,300 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 February 12, 2027.