Senior Branch Auditor

$70,000 - $90,000/Yr

Cathay General Bancorp - Industry, CA

posted 16 days ago

Full-time - Mid Level
Industry, CA
Credit Intermediation and Related Activities

About the position

Under the direct supervision of the Branch Audit Manager, conducts branch audits at various branch offices to evaluate the effectiveness of the branch control environment and the quality of ongoing branch operations. Responsible for all phases of the audit cycle including planning, testing, issue remediation and reporting. A Senior Branch Auditor performs all duties in accordance with the International Standards for the Professional Practices of Internal Auditing.

Responsibilities

  • Assists the Branch Audit Manager in the development of the branch audit plan and preparation of the annual branch risk assessment.
  • Evaluates the effectiveness of internal controls using established risk methodology.
  • Communicates potential control weaknesses, policy, or procedure violations during the audit engagement to Branch Management and the Branch Audit Manager.
  • Prepares workpapers and supporting documentation that clearly identifies the tests performed and conclusions reached solely through the review of the submitted workpapers.
  • Prepares and submits Branch Audit reports that clearly and concisely documents the issues identified during the audit to the Branch Audit Manager for review and approval.
  • Conducts exit reviews with Branch Management to communicate audit findings, observations, and recommendations.
  • As requested, reviews workpapers and reports of other team members to validate audit findings and supporting documents adhere to department standards.
  • Identifies the root cause of the identified operational deficiencies and recommends improvements to the control environment.
  • Responsible for issue management which includes validating action plans are effective and substantiable and remediated within required timeframes.
  • Maintains professional knowledge through continuing education.

Requirements

  • BA/BS in accounting, business, finance, or related field.
  • Minimum five years audit experience, preferably in branch banking or financial industry, or comparable work-related experience.
  • Excellent verbal, written and interpersonal skills.
  • In depth understanding of risk assessments, risk methodology and audit execution.
  • Ability to manage competing priorities and meet established deadlines.
  • Thorough knowledge and understanding of bank policies, procedures, and practices.
  • Experienced in the audit of consumer and commercial branch operations.
  • Ability to work with minimal or no supervision on audit assignments.
  • Ability to travel locally utilizing personal vehicle and ability to travel out of state, including occasional overnight assignments.

Nice-to-haves

  • Certified Financial Auditor or Certified Bank Auditor designation preferred.
  • Bilingual (English/Mandarin or Cantonese) a plus.

Benefits

  • Medical insurance
  • Dental insurance
  • Vision insurance
  • Life insurance
  • Long-term disability insurance
  • Flexible spending accounts (FSAs)
  • Health saving account (HSA) with company contributions
  • Voluntary coverages
  • 401(k)
  • Discretionary bonus eligibility
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