Staff Internal Auditor

People Drive Our Success

Are you enthusiastic, highly motivated, and have a strong work ethic? If yes, come join our team! At Cathay Bank – we strive to provide a caring culture that supports your aspirations and success. We believe people are our most valuable asset and we proudly foster growth and development empowering you to achieve your professional goals. We have thrived for 60 years and persevered through many economic cycles due to our team members’ drive and optimism.

Together we can make a difference in the financial future of our communities.

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The Staff Internal Auditor is an entry-level professional responsible for assisting in evaluating the adequacy and effectiveness of the Bank's governance, risk management, internal controls, and compliance processes as supervised by a Senior Auditor, Audit Supervisor, or Audit Manager. The position participates in a variety of audits, including operational, financial, regulatory compliance, information technology and special projects, to provide independent assurance to management and the Audit Committee.

The Staff Internal Auditor performs audit testing, documents results, identifies control weaknesses, supports the completion of audit reports and follow-up activities, and other duties as assigned.

The incumbent has no direct reports.

• Assist in planning and executing risk-based audits of banking operations, lending, deposit operations, treasury, finance, information technology, and support functions in accordance with the annual audit plan, the Global Internal Audit Standards, departmental policies, procedures, and applicable regulatory expectations.
• Perform audit fieldwork, including interviews, walkthroughs, control testing, and substantive testing.
• Evaluate the design and operating effectiveness of internal controls.
• Document audit work papers in accordance with departmental standards.
• Identify audit issues, control deficiencies, and process improvement opportunities.
• Assist in drafting audit findings and management recommendations.
• Conduct validation and follow-up reviews of management corrective actions.

• Develop an understanding of the Bank’s governance structure, strategic objectives, and risk management framework.
• Develop an understanding of risk such as fraud risks, operational risks, financial reporting risks, compliance risks, and information technology risks.
• Maintain awareness of changes in banking regulations, industry practices, and emerging risks.

• Assist in assessing compliance with applicable banking laws, regulations, and internal policies.
• Evaluate adherence to regulatory requirements, including but not limited to:
  • Bank Secrecy Act (BSA/AML)
  • Consumer compliance regulations
  • Fair lending requirements
  • Privacy regulations
  • Internal banking policies and procedures
• Support reviews of third-party vendors and outsourced activities.

• Review key accounting processes and financial reporting controls.
• Perform testing related to general ledger controls, reconciliations, and financial statement accounts.
• Assess controls supporting financial reporting and regulatory reporting.
• Assist in evaluating accounting policy compliance and audit readiness.

• Assess efficiency and effectiveness of operational processes.
• Review controls surrounding loan operations, deposit operations, wire transfers, treasury management, and branch activities.
• Evaluate segregation of duties, authorization controls, and monitoring processes.
• Identify opportunities for strengthening operational risk management.

• Prepare work papers, audit summaries, and supporting documentation.
• Communicate findings and observations to audit management.
• Participate in entrance and exit meetings with auditees.
• Maintain effective working relationships with business units while preserving auditor independence.
• Maintain confidentiality of sensitive information.

• Utilize Microsoft Excel, audit management software, and other…