Lead Auditor

About the role

At SECU, we put our employees first, recognizing that their well-being and professional development are vital to our success. By fostering a supportive and empowering work environment, our employees are committed to helping members achieve long-term financial security. They are also inspired to give back to the communities we serve by volunteering and spreading kindness, which reflects our core values and who we are as an organization. Every employee at SECU contributes to our members’ financial well-being, and we’ll always do what’s right for our members, employees, and communities. Feel good about what you do. Belong to a place where you matter and can make a difference.

Responsibilities

• Serve as a project leader for moderately complex operational, financial, compliance, and technology-focused audits, ensuring reviews are completed within established timelines.
• Partner with Internal Audit teams across affiliated credit unions to provide coverage of S3 CUSO operations.
• Plan and execute audit programs, and conduct risk assessments to evaluate the significance of findings.
• Assess the adequacy and effectiveness of internal controls, ensure compliance with company policies, industry standards, and applicable NCUA, state, and federal regulations, and prepare thorough workpapers to support audit conclusions.
• Collaborate with management to resolve audit issues, develop clear and actionable recommendations to strengthen the control environment, and participate in special reviews as directed.
• Adhere to regulations and organizational policies, maintaining awareness and knowledge required to perform the duties of the position, including all aspects of the Bank Secrecy Act and related regulations, such as OFAC, and the USA Patriot Act, Fair Lending and Information Security.
• Plan and perform audits of moderately complex business activities to evaluate the effectiveness of existing internal controls and to determine regulatory compliance and compliance with corporate policies and procedures.
• On more complex audits, develop and/or update sections of the audit program assigned by the auditor-in-charge.
• Document audit steps adequately in work papers to support the audit program, findings, recommendations, and conclusions and meet professional and departmental standards.
• Complete assigned audits within scheduled deadlines as stated in the annual audit plan.
• Use audit software and specialized audit tools for audit process documentation, data extractions and audit analysis (e.g., TeamMate, IDEA, and QueryBuilder).
• Work with audit staff to develop new data extraction processes used to create reports needed for assigned audits.
• Work with management, on a collaborative basis, during the audit to communicate and resolve audit issues.
• Document unresolved issues and propose effective/efficient recommendations; present findings and recommendations to responsible operating management.
• Draft report comments which are submitted to the auditor-in-charge for inclusion in the audit report.
• Perform follow-up reviews to determine if appropriate corrective action, as indicated by management in response to audit recommendations, was implemented and functioning as intended.
• Participate in special management directed reviews.
• Provide administrative support for Supervisory Committee reporting and meetings, as assigned.
• Stay informed of current related industry trends to include auditing, accounting/finance, information technology, fraud, regulatory compliance, etc. (e.g., attend continuing education training/seminars, online resources, etc.).
• Share information with members of the Internal Audit department and management that may impact SECU operations and/or applying this knowledge to enhance the audit process.

Requirements

• B.S degree in Accounting, Finance, Information Technology or a related business discipline.
• Attainment of, or actively pursuing, the Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Information Systems Auditor (CISA) certification(s) is required.
• 3+ years of Audit experience preferred; will consider accounting, regulatory compliance or financial related experience in a financial institution.
• Ensure analytical and problem-solving skills are appropriately applied during assigned financial, operational, and information technology centric audit projects.
• Working knowledge of Generally Accepted Accounting Principles and the IIA Global Internal Audit Standards.
• Proficient in use of audit software such as TeamMate and IDEA.
• Proficient in use of PC hardware and software, including Microsoft Office.
• Ability to manage/support concurrent audit projects and audit activities.