AVP, Internal Audit: Risk & Controls Leader

Senior Internal Auditor - AVP Business

Apply an understanding of internal audit standards, policies and procedures, and regulations, including the Federal Reserve, FINRA, SEC and Florida OFR. Assist the Internal Audit Manager in ascertaining that all major risks are identified and analyzed and provide input to the development of the annual audit plan and ongoing risk assessments. Plan, organize, and execute the annual audit plan, including the preparation of audit programs and corresponding work papers which fulfils the responsibility of the department.

Lead audit projects related to different business units and divisions, including the preparation of risk and control matrices, coordination and performance of tests with internal auditors and other specialists, and presentation of audit issues to the business and the drafting of audit reports.

Responsibilities

• Review and report on the accuracy, timeliness, and relevance of information that is provided from management.
• Perform periodic follow-ups to ensure that issues from internal audit, as well as from regulatory bodies, external and internal consultants are appropriately remediated in a timely manner.
• Assist external auditors with requests regarding specific internal audits and areas pertaining to substantive work.
• Perform quality assessment reviews to ensure audits are completed in adherence to both local and head office internal audit methodology and policies.
• Compliance with Anti-Money Laundering and Bank Secrecy Act related principles, laws, rules and regulations, as well as related policies and procedures.

Qualifications

• Professional certifications (CPA, CIA, CISA, CISSP, Series 7, CFE, CAMS) preferred.
• Bachelor’s degree in Business Administration, Accounting, Finance, Economics, Statistics, Data Analytics, Business Engineering.
• 5 + years of experience as an auditor (internal or external auditor) preferred OR 5 + years of experience in either the Financial Services industry, Internal Controls, Risk Management, or related areas.
• Sound knowledge of IIA standards.
• Knowledge of audit procedures, including planning, techniques, testing, and sampling methods involved in conducting audits.
• Knowledge of US banking/financial regulations and business acumen, including but not limited to Banking Services, Fiduciary, Asset Management, or Broker Dealer.