Auditor Internal Job Description Samples

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Internal Auditor / Compliance Auditor

Job Description

The Internal Auditor / Compliance Auditor is part of a team that focuses on providing insight to our financial institution client base with respect to the current internal control, compliance, and risk management best practices. The Auditor performs a variety of internal control / compliance audits related to core banking processes, regulatory requirements, Sarbanes Oxley requirements, and fraud mitigation practices. The auditor assists in various phases of the audit process, including, assisting with the audit planning and preparation, performing and documenting process walkthroughs; determining and documenting risks and controls; testing and evaluating controls; assists with the preparation of the audit report.

Internal Auditor Responsibilities include:

  • The ability to participate in internal and compliance audits of financial institutions by assisting the audit team with the planning and execution of audits.
  • Perform audit procedures to identify areas for improvement and develop recommendations based on accurate identification of potential risks relevant to the client.
  • Perform internal testing of controls and compliance reviews based upon FFIEC, SOX, and banking industry standards.
  • Review and detail test controls in the financial institution’s environment to source documentation.
  • Prepare work papers that are consistent with generally accepted auditing standards, as well as established firm standards.
  • Work in a dynamic and energetic environment, keeping current on trends, risks, and threats in the financial services environment.
  • Assist in special projects, as required.

Job Requirements

The Internal Auditor should meet the following qualifications:

  • Bachelor degree in Accounting or Management.
  • Minimum 2 years of internal audit or Compliance audit experience or related financial services (banking) experience, a plus.
  • Applicable certifications a plus (CFSA, CFE, CRCM, CAMS, CRMA, CFIRS, etc).
  • General understanding of internal controls, risk management and Banking concepts and practices.
  • Understanding of auditing standards and best practices, bank regulatory guidelines and laws. (e.g., FFIEC, Sarbanes-Oxley Act), a plus.
  • Must demonstrate strong communication and interpersonal skills.
  • Solid strategic thinking approach with risk awareness and appropriate judgment.
  • Able to work in a team-oriented environment.
  • Desire to learn.
  • Ability to multi-task.
  • Proficient user of Microsoft Office (Excel, Word and PowerPoint) and Adobe Acrobat.
  • Experience with IDEA Data Analysis software a plus.
  • Regional (day) travel required 90%. Overnight travel 15 - 20% on an annual basis.

Company Description

At FOS, our personalized service philosophy is based on having our internal audit professionals work together as a team to understand our clients’ goals and strategies. In addition, we leverage our knowledge of other institutions we serve, as well as, our involvement in the financial institution industry, to bring a Best Practices approach to serving our clients beyond the typical issues.
We’ve assembled a great team to serve you with advanced training, experience, and professional designations. Our combined team includes ten Certified Information Systems Auditors, Certified Internal Auditors, Certified Bank Auditors, Certified Fraud Examiners, Certified Financial Services Auditor, and Certified Fiduciary Risk Management Specialists.

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Auditor Internal

We are currently looking for an internal auditor to join a growing company in Purchase, NY. Our client, a leader in the Reinsurance Industry, prides themselves on quality service and long lasting success with their clients.

Assist with the completion of the global IT internal audit plan. Participate in all phases of the SOX life cycle including planning, risk assessment, audit scoping, data collection, documentation, testing and reporting to ensure IT internal controls comply with the requirements of the Sarbanes-Oxley Act (SOX). Work closely with process owners to confirm that key controls are designed and operating effectively throughout the year and for any remediation required as a result of test findings. Perform annual walkthroughs with the control owners to confirm operation of the controls.

Identify new and changed controls, prepare documentation and evaluate their design. Design and execute tests of controls. Support the business SOX compliance auditors in the design and testing of automated application controls and controls over end user computing tools.

Identify control deficiencies, perform root cause analysis, analyze the impact of the control deficiencies on the business processes and assist SOX compliance management in determining the impact of such exceptions on the financial statements. Communicate control gaps and weaknesses to process owners. Assist IT in developing remediation plans.

Provide Business and IT management with guidance on IT risk management matters, particularly on application and infrastructure security. Conduct audits and reviews of systems, applications and IT processes. Document all audit work completed in TeamMate.

Perform pre and post- implementation reviews of system implementations or enhancements. Complete IT security audits (e.g. network, operating system, and data center), including evaluating if security vulnerabilities are properly identified and mitigated. Coordinate the scope and performance of these reviews with business units and external security experts.

Evaluate information general computing controls and provide value added feedback. Test compliance with those controls. Perform various other reviews of IT management policies and procedures such as change management, business continuity planning/ disaster recovery and information security to ensure that controls surrounding these processes are adequate.

Bachelor's degree in Technology, Accounting, Finance, Risk Management, or a related discipline. 5 years of experience in IT audit. Experience in insurance and/or financial services a plus. Understanding of multiple technology domains including software development, Windows, database management, networking, Guidewire and SAP (preferred). Understanding of information security standards, best practices for securing computer systems, and applicable laws and regulations.

Possess ability to effectively and professionally communicate complex business topics to Management via reports, memos, and verbal communication. Highly effective Internal Audit report writing skills. Maintain strong client/customer service focus - position requires interaction with numerous employees on all platforms of business.

Possess excellent interpersonal skills, including the ability to resolve conflicts, persuade decision makers, motivate people, and inspire teamwork. Possess strong risk and internal control awareness. Insurance industry knowledge preferred.

Possess the ability to work independently at times, and provide appropriate assistance to other internal audit team members. CISA preferred. Current progress towards a CISA certification will be considered. Category: Reinsurance - provided by Dice Accounting, Analysis, Automated, Change Management, Customer Service, Database, Data Collection, Development, Disaster Recovery, Management, Networking, Risk Management, SAP, Security, SOX, Testing, Windows



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Internal Auditor / Compliance Auditor

Job Description

The Internal Auditor / Compliance Auditor is part of a team that focuses on providing insight to our financial institution client base with respect to the current internal control, compliance, and risk management best practices. The Auditor performs a variety of internal control / compliance audits related to core banking processes, regulatory requirements, Sarbanes Oxley requirements, and fraud mitigation practices. The auditor assists in various phases of the audit process, including, assisting with the audit planning and preparation, performing and documenting process walkthroughs; determining and documenting risks and controls; testing and evaluating controls; assists with the preparation of the audit report.

Internal Auditor Responsibilities include:

  • The ability to participate in internal and compliance audits of financial institutions by assisting the audit team with the planning and execution of audits.
  • Perform audit procedures to identify areas for improvement and develop recommendations based on accurate identification of potential risks relevant to the client.
  • Perform internal testing of controls and compliance reviews based upon FFIEC, SOX, and banking industry standards.
  • Review and detail test controls in the financial institution’s environment to source documentation.
  • Prepare work papers that are consistent with generally accepted auditing standards, as well as established firm standards.
  • Work in a dynamic and energetic environment, keeping current on trends, risks, and threats in the financial services environment.
  • Assist in special projects, as required.

Job Requirements

The Internal Auditor should meet the following qualifications:

  • Bachelor degree in Accounting or Management.
  • Minimum 2 years of internal audit or Compliance audit experience or related financial services (banking) experience, a plus.
  • Applicable certifications a plus (CFSA, CFE, CRCM, CAMS, CRMA, CFIRS, etc).
  • General understanding of internal controls, risk management and Banking concepts and practices.
  • Understanding of auditing standards and best practices, bank regulatory guidelines and laws. (e.g., FFIEC, Sarbanes-Oxley Act), a plus.
  • Must demonstrate strong communication and interpersonal skills.
  • Solid strategic thinking approach with risk awareness and appropriate judgment.
  • Able to work in a team-oriented environment.
  • Desire to learn.
  • Ability to multi-task.
  • Proficient user of Microsoft Office (Excel, Word and PowerPoint) and Adobe Acrobat.
  • Experience with IDEA Data Analysis software a plus.
  • Regional (day) travel required 90%. Overnight travel 15 - 20% on an annual basis.

Company Description

At FOS, our personalized service philosophy is based on having our internal audit professionals work together as a team to understand our clients’ goals and strategies. In addition, we leverage our knowledge of other institutions we serve, as well as, our involvement in the financial institution industry, to bring a Best Practices approach to serving our clients beyond the typical issues.
We’ve assembled a great team to serve you with advanced training, experience, and professional designations. Our combined team includes ten Certified Information Systems Auditors, Certified Internal Auditors, Certified Bank Auditors, Certified Fraud Examiners, Certified Financial Services Auditor, and Certified Fiduciary Risk Management Specialists.

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Internal Auditor / Compliance Auditor

Job Description

The Internal Auditor / Compliance Auditor is part of a team that focuses on providing insight to our financial institution client base with respect to the current internal control, compliance, and risk management best practices. The Auditor performs a variety of internal control / compliance audits related to core banking processes, regulatory requirements, Sarbanes Oxley requirements, and fraud mitigation practices. The auditor assists in various phases of the audit process, including, assisting with the audit planning and preparation, performing and documenting process walkthroughs; determining and documenting risks and controls; testing and evaluating controls; assists with the preparation of the audit report.

Internal Auditor Responsibilities include:

  • The ability to participate in internal and compliance audits of financial institutions by assisting the audit team with the planning and execution of audits.
  • Perform audit procedures to identify areas for improvement and develop recommendations based on accurate identification of potential risks relevant to the client.
  • Perform internal testing of controls and compliance reviews based upon FFIEC, SOX, and banking industry standards.
  • Review and detail test controls in the financial institution’s environment to source documentation.
  • Prepare work papers that are consistent with generally accepted auditing standards, as well as established firm standards.
  • Work in a dynamic and energetic environment, keeping current on trends, risks, and threats in the financial services environment.
  • Assist in special projects, as required.

Job Requirements

The Internal Auditor should meet the following qualifications:

  • Bachelor degree in Accounting or Management.
  • Minimum 2 years of internal audit or Compliance audit experience or related financial services (banking) experience, a plus.
  • Applicable certifications a plus (CFSA, CFE, CRCM, CAMS, CRMA, CFIRS, etc).
  • General understanding of internal controls, risk management and Banking concepts and practices.
  • Understanding of auditing standards and best practices, bank regulatory guidelines and laws. (e.g., FFIEC, Sarbanes-Oxley Act), a plus.
  • Must demonstrate strong communication and interpersonal skills.
  • Solid strategic thinking approach with risk awareness and appropriate judgment.
  • Able to work in a team-oriented environment.
  • Desire to learn.
  • Ability to multi-task.
  • Proficient user of Microsoft Office (Excel, Word and PowerPoint) and Adobe Acrobat.
  • Experience with IDEA Data Analysis software a plus.
  • Regional (day) travel required 90%. Overnight travel 15 - 20% on an annual basis.

Company Description

At FOS, our personalized service philosophy is based on having our internal audit professionals work together as a team to understand our clients’ goals and strategies. In addition, we leverage our knowledge of other institutions we serve, as well as, our involvement in the financial institution industry, to bring a Best Practices approach to serving our clients beyond the typical issues.
We’ve assembled a great team to serve you with advanced training, experience, and professional designations. Our combined team includes ten Certified Information Systems Auditors, Certified Internal Auditors, Certified Bank Auditors, Certified Fraud Examiners, Certified Financial Services Auditor, and Certified Fiduciary Risk Management Specialists.

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Senior Internal Auditor / PM Internal Audit

Job Description

Significant Growth Opportunities!!

Looking for a Senior Internal Auditor for a high growth company! Our client is a multi-billion dollar corporation with corporate headquarters in Rapid City, SD.

The Senior Internal Auditor identifies risk exposure and evaluates processes and controls related to financial, compliance, and operational reporting, effectiveness of operations and reliability and integrity of information systems and data.

ESSENTIAL FUNCTIONS

  • Understanding and documenting business processes, risks, and controls (manual and systematic).
  • Designing and executing efficient and effective methods to test controls (manual and systematic), including data analysis, evaluation of transactions, and observation of processes.
  • Documenting audit results in audit work papers that are comprehensive, clear, concise, and organized.
  • Reporting audit results (verbal presentation and written).
  • Collaborating and sharing knowledge with coworkers (internal and external to the Internal Audit Department).
  • Reviewing work papers and providing feedback to fellow-auditors (depending on level and experience).
  • Managing audit projects (depending on level and experience).
  • Conducting special projects related to the continuous improvement of audit processes.

EDUCATION / EXPERIENCE / KNOWLEDGE

  • Bachelor’s Degree in Business, Engineering, or Computer Science or equivalent combination of education and experience.
  • Three to ten years of relevant business experience required.
  • At least three years of experience in audit strongly preferred for a Senior level.
  • SOX experience
  • Risk based, integrated audit experience and experience assessing basic information technology controls (security, change management, and computer operations) strongly preferred.
  • Demonstrated understanding of various business functions and processes.
  • Demonstrated understanding of basic information technology controls (security, change management, and computer operations).

CERTIFICATIONS/CREDENTIALS

  • Professional certification (CIA, CPA, and/or CISA) required.

SPECIAL REQUIREMENTS

  • Willingness to travel up to 25%.
  • CPA preferred.

Looking for “High Potential” candidates.

Company Description

Rolle Schmidt & Associates, Inc. is a professional search firm that focuses on servicing our client's recruitment needs. We excel at getting to know our clients - their business; their people; and their culture. This results in efficient searches and "RIGHT FIT" placements for our clients and their new employees.
Founded in 1994 in St. Paul, Minnesota, we represent public and privately held entities in a broad variety of industries from coast-to-coast. We have helped our clients build their companies by placing hundreds of qualified candidates in all areas of their business, including accounting, finance, human resources, manufacturing, operations, sales, marketing, information technology, and engineering. Our placements range from entry level to the corner office positions.
Our commitment is to find the best possible candidates for our clients. Our staff uses extensive recruitment tools that allow us to present thoroughly interviewed, referenced and qualified candidates who have expressed a specific interest in the opportunity set forth by you, and who have the necessary skills. Our goal is to establish long-lasting relationships with clients and candidates.

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Auditor Internal

Description: Conduct and/or assist in conducting reviews of assigned organizational and functional activities. Prepare the final formal written report of the audit findings and conduct the post-audit exit conference and follow-up to ensure that appropriate action is taken on the findings. Job duties include but are not limited to:

  • Conduct and/or assist in conducting, reviews of assigned organizational and functional activities.

  • Plan the purpose, scope, and approach of audits.

  • Evaluate the internal controls within the system and confer with the Internal Audit Supervisor or the Director of Internal Audit to address deficiencies which might require a change in the scope or approach of the audit.

  • Conduct the exit conference with the appropriate management personnel from the audit location.

  • Prepare the formal written report on the results of the audit, expressing opinions on the adequacy and effectiveness of the system of internal controls and the extent of compliance.

  • Perform post-audit follow up to ensure that appropriate action is taken on reported audit findings.

  • Other related projects and/or duties as assigned by management.

Requirements:


Job Specifications

  • Must be at least 21 years of age.

  • Bachelor’s degree in business, accounting or finance major preferred, or equivalent experience.

  • At least one year of internal, external or comparable audit/accounting experience.

  • Must be self-motivated, have an investigative mindset, and be able to work independently.

  • Must have excellent oral and written communication skills.

  • Must have excellent organizational skills and be detail-oriented.

  • Must have strong computer skills, including Microsoft Office products.

  • Must be able to obtain/maintain any necessary certifications and/or licenses as required by local gaming regulations.

Department: BG - Internal Audit Category: Internal Audit Position Code: BGEAUIN00 Shif: Days Status: Full Time


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Bank Internal Compliance Auditor

Job
Description

Job Summary:

Responsible for conducting periodic targeted operations reviews of offices to ensure adherence to policy and procedure and banking regulations. Conduct similar loan operations reviews on a limited basis as needed.  Develop and maintain a process for tracking, trending and reporting on operational deficiencies.  This position will require regular travel to all office locations in San Diego, Orange and Los Angeles Counties.

Duties and
Responsibilities:

  • Conduct branch and loan operations reviews

    • Manage Operations Review Calendar
    • Plan areas of review for quarterly cycle
    • Complete Operations Review Memos
    • Track and follow up on outstanding findings
  • Certification Support and Review

  • Monthly Review of Branch Certifications

    • Conduct Central Operations Certifications

    • Risk Management support including daily in clearing reviews.

  • Refine, document and maintain the Bank’s branch operations review program.    Establish and document an escalation process.

  • Ensure review exceptions are tracked, trended and resolved.  Report on past due.  Develop and execute results-based training.

  • Develop and maintain operations procedures as needed.


Qualifications:

  • Seven-10 years banking experience

  • Five years' operations experience that includes audit and or internal review.

  • Expertise in Banking policies and procedures and regulatory compliance.

  • Preferred Branch Banking experience

  • Intermediate, core system, Word & Excel skills

  • Advanced oral, written and interpersonal skills

  • Able to work with all levels of employees and management

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Internal Auditor

Job Description

Internal Auditor needed for a growing company in the Sleepy Hollow, NY area. Analyze data, review documents to determine if transactions line up with regulations/company policies and identify process improvements. Identify weaknesses in internal controls and assist with compliance activities. The ideal candidate should have 3 years of audit experience and must be able to meet deadlines.

Company Description

PRI Search is a full service recruiting, search, consulting and staff augmentation comprised of industry professionals with more than 100 years of cumulative staffing experience. We employ the utilization of cutting edge recruiting technologies which allow for greater optimization of our capabilities in serving our candidates and clients needs.

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Senior Internal Auditor

Job Description

GPS Staffing is a nationwide preferred provider of staffing and recruitment services. GPS has over 25 years of dedicated staffing partnerships with organizations ranging from International Fortune 500 companies to Colorado startups. Our team is committed to Growth, People and Success!
Title: Senior Internal Auditor
Job ID:
93348
Industry: Healthcare
Location:
Aurora, CO
Duration: 6 months, possibility of conversion to FTE
Pay Rate Range: Depends on Experience (W2, no benefits attached)
Job Details:
Size of team is 3. (Scope) of the project This person (s) could work on a variety of projects, SOX and investigations as part of the overall staff. The project examples could include working on post implementation testing for a Claims System implementation, working on performing a risk assessment consulting project for Materials Management or other types of audits as needed. In addition, the SOX work would include SOX testing from a variety of Mega’s across all our customer relationship lines.

  • Savings from improved efficiency of operating department processes, more effective internal controls, & potential revenue recoveries.
  • Interprets and analyzes situations and information based on established concepts and general guidelines.
  • Makes decisions in conjunction with the AIC on less defined issues and selects methods
  • Develops solutions to complex problems. May refer to established precedents and policies when making decisions.
  • Assesses information to identify the best solution from existing alternatives.
  • Requires in-depth analysis to develop solutions for complex problems.
  • Interacts regularly with various Regional management, Internal Audit management & staff, & external auditors & consultants.
  • Demonstrates good interpersonal skills and communicates effectively both verbally and in writing
  • Conducts assigned audit projects independently &/or with team members.
  • In conjunction with AIC determines & identifies potential risks & opportunities to the organization, & develops appropriate corrective action plans. 


Responsibilities:

  • Contribute to the audit planning process; assist in the development of audit objectives and detailed test procedures that effectively address key controls and risks.
  • Develop work papers that address the objectives of the audit program and support the conclusions reached during testing. Adhere to the IIA Standards and IAS guidelines for workpaper documentation.
  • Assess business systems/processes to identify key control points and risks. Document using narrative and/or flowcharting techniques.
  • Draft audit conclusions, discuss potential issues with clients, and prepare and deliver other summary communication documents as required.
  • With supervision, successfully execute all phases of the audit process for moderately complex projects.
  • Contribute to the development of the assigned practice area by participating in risk assessment activities, creation of audit tools, establishing client relationships, and identifying and sharing relevant information.

Required Skills:

  • Demonstrated knowledge, skills & experience in applying the principles & practices of internal auditing in accounting, financial & operational environments, including auditing business functions & information technology systems.
  • Demonstrated general accounting, financial & business skills, knowledge, & experience.
  • Demonstrated skills in the identification & resolution of business problems within a team setting. Ability to research & identify best practices.
  • Demonstrated ability to effectively utilize general audit software such as ACL, TeamMate, etc.
  • Demonstrates good interpersonal skills and communicates effectively both verbally and in writing
  • Microsoft Office (Word, Excel, PowerPoint & Access)
  • Lotus Notes

Preferred Skills:

  • Basic Project Management skills for all aspects of a project from planning to execution and reporting
  • Previous Internal Audit or Control/Process based experience

Educational and Experience
Requirements:

  • Less than 5 years of professional auditing or comparable experience required
  • Bachelor's degree in business, accounting, finance, information systems or related field or equivalent experience required.

License/Certification:
Require 1 of following certifications (or actively pursuing 1 of these):

  • Certified Internal Auditor (CIA)
  • Certified Public Accountant (CPA)
  • Certified Information System Auditor (CISA)

Company Description

GPS Staffing is a nationwide preferred provider of staffing and recruitment services. GPS has over 25 years of dedicated staffing partnerships with organizations ranging from International Fortune 500 companies to Colorado startups. Our team is committed to Growth, People, and Success!

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Internal Auditor

Job Description

Client is seeking a temporary candidate to join its Internal Audit Team to be responsible for financial and operational reviews as well as management directed special projects at North American facilities (mainly US & Canada. The audits encompass financial/operations audits, process, division, SOX, and plant operations.

Skills Preferred:

The successful candidate will be very inquisitive and have strong communication skills, both verbal and written.

Experience Required:

Experience in a manufacturing environment and SEC reporting is desired, A CPA or CIA designation is preferred and additional professional designations, such as Certification in Control Self-Assessment (CCSA) or Certified Fraud Examiner (CFE) is a plus. Travel is required, up to 20%.

Experience Preferred:

3 to 7 years of public accounting experiences or industry audit or similar experience is required.

Education Required:

To qualify, a candidate must hold an undergraduate degree in accounting or finance, with an advanced degree.

Company Description

Kyyba is a privately held company and specializes in staff augmentation, application software and project solutions. In operation for more than 17 years, we have earned an enviable track record and reputation within all the industries we serve. Our unique processes and maturity enables us to understand the needs of the business organizations and provide business solutions that match the real and compelling needs of our customers.
Headquartered in Michigan, Kyyba has multiple office locations and we serve local, regional and national client base consisting of Fortune 500 and middle market companies. Kyyba extends the above solutions and services to a broad spectrum of industry verticals ranging from automotive, insurance, technology, financial, transportation, government and so on.

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