Senior Auditor

Senior Auditor

Bank of the Orient is an independent Asian Community Bank that has proudly served the financial needs of multiple Bay Area communities for over 55 years and Texas.  We are well known for our commitment to providing the highest level of personal service to our customers; we take a personal interest in our communities' unique banking needs, we are dedicated to providing integrity in banking and financial services, we provide high quality dependable service by being accessible and reliable. We are committed to excellence in everything we do.

We have openings for full-time Senior Auditor for our auditing Team.  Responsible for conducting internal audits of departments and branches.  Prepare audit reports, work papers, Internal Control Memos, and other required audit documents.  Assists in identifying major risks associated with business units and the degree of overall risk assessed.  Through the audit process, assists in the evaluation of risk, and assists federal, state, and external auditors as needed.  Make recommendations to remedy deficiencies and monitor implementation of approved changes.

ESSENTIAL DUTIES:

1.      Demonstrates quality customer service with internal and external partners and auditees.

2.      Conducts operational, financial, and regulatory audits of branches, administrative departments, and other functions per the audit schedule.  Conduct spot audits and investigations when necessary.

3.      Evaluates operating procedures to ensure the adequacy and effective functioning of internal controls.  Determines that Bank's policies and procedures are being followed.

4.      Perform moderate to high-complexity audit work with limited supervision

5.      Identify key risks across end-to-end processes and develop risk-based audit scopes and test plans

6.      Document, validate and assess the design and operating effectiveness of the clients’ internal control system

7.      Identify and communicate suggested improvements to client internal controls and procedures to reduce risk

8.      Support department-wide projects and initiatives to enhance Internal Audit methodologies, tools, and assurance capabilities

9.      Stay current on emerging audit standards, regulatory changes, and industry trends

10.  Conduct exit review of audit findings with branch/department manager.  Participates in the review and evaluation of management responses to audit findings, opinions, and recommendations.

11.  Performs audit methods and procedures as required by Internal Audit policy, regulations, or professional standards of the Institute of Internal Auditors.

12.  Assists outside auditors in year-end financial statement audit; assists outside regulators in their examinations as required.

13.  Maintains comprehensive knowledge of business areas of Bank and utilizes that knowledge to revise/develop accurate in-depth internal audit programs.

14.  Prepares written reports on findings that are objective, clear, concise, constructive, and timely.  Makes recommendations to improve existing systems or functions.  Reviews and evaluates management responses to audit findings, opinions, and recommendations. 

15.  Monitors management action plans and updates the audit finding tracking system.

16.  Gathers data, prepares reports, provides factual and background information and cooperates with regulatory examiners.

17.  Works with third-party vendor auditors to ensure outsourced audits of bank departments and functions are adequately examined

18.  Address and clear audit findings in a prompt manner.

19.  Actively participates in any required Bank training satisfactorily and completes assigned training in a timely manner – i.e., compliance training such as BSA / AML Training, computer training, etc.

20.  Maintains strict control and confidentiality over all non-public customer information in accordance with the Gramm-Leach-Bliley Act, all applicable state regulations and the Bank’s Customer Information Security Policy.

21.  Abides by the Bank’s Compliance Programs, as well as other compliance and security banking laws, rules and regulations.

MINIMUM REQUIREMENTS:

EDUCATION AND EXPERIENCE:

1.      Bachelor’s degree in Accounting, Business, Finance or related field.

2.      Minimum 2 years of audit experience in financial services industry.

3.      Strong auditing and analytical skills.

4.      Working knowledge of IIA auditing standards.

SKILLS AND ABILITIES:

1.      Understanding of banking processes in lending, operations, information technology, finance, etc.

2.      Knowledge of contemporary internal auditing theory, auditing standards, procedures, and techniques as outlined by the IIA Global Standards of Internal Auditing

3.      Demonstrated ability to read and analyze financial and procedural data and recognize potential internal control weakness.

4.      Demonstrated ability to prioritize tasks and meet deadlines.

5.      Strong attention to detail, problem-solving, and project management skills.

6.      Excellent oral and written communication skills.

7.      Demonstrated ability to handle a large volume of work under minimal supervision.

Bilingual in prefer

Visit our website at: www.bankorient.com for additional information.

Candidate will be subject to investigation through credit checks, reference checks, background checks and fingerprinting checks performed at the time permissible under relevant law.

Bank of the Orient is proud to be an Affirmative Action, Equal Opportunity Employer.