Auditor Associate Job Description
Auditor associate
provides audit coverage of the key controls supporting distributed technology infrastructure and IT risk and security processes.
Auditor Associate Duties & Responsibilities
To write an effective auditor associate job description, begin by listing detailed duties, responsibilities and expectations. We have included auditor associate job description templates that you can modify and use.
Sample responsibilities for this position include:
Ensure the successful execution of the audit fieldwork
Independently leads and coordinates the execution of domain-specific compliance audit programs
Assist the head of assignment in specifying audit scope, resource requirements, time-scales and deliverables
Write clear and impactful findings that provide added value to senior management
Contribute actively to business audits, in order to identify IS/IT stakes within complex business topics
Maintain regular communication with auditees
Perform diligent follow-up of audit recommendations raised with the function
Ensure that Audit management is informed, on a timely basis, of all significant issues arising from missions and of any event that may have an impact on the company
Independently assessing business risks and the strength and viability of control structures within the firm’s businesses and utility functions
Candidate will be expected to effectively carry on other detail investigations requested by management, and performs special projects related to department administration, financial analysis
Auditor Associate Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Auditor Associate
List any licenses or certifications required by the position: CPA, CISA, CIA, CAMS, EPIC, CISSP, NYSDOT, CRISC, CISM, ACCA
Education for Auditor Associate
Typically a job would require a certain level of education.
Employers hiring for the auditor associate job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Finance, Business, Information Systems, Education, Business/Administration, Communication, Auditing, Information Technology, Computer Science
Skills for Auditor Associate
Desired skills for auditor associate include:
Audit methodology
Risk assessment
System development life cycle concepts with an ability to quickly learn a complex
Distributed computing environment
Execution
Investment Company Act
Infrastructure technology
Banking industry
Sanctions compliance laws and regulations
Application controls
Desired experience for auditor associate includes:
System and security administration and configuration of servers and desktops, UNIX, Windows, Directory services
Management, monitoring and operations of technology
Data Analysis using ACL or SQL
Relevant technology regulations – ISO 27001, Data Privacy, FFIEC IT handbooks etc
Relevant Certifications or industry accreditations (CISA, CISSP, CISM ) is a plus
BE/B Tech/MCA/MBA in Systems/MSc in Technology
Auditor Associate Examples
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Auditor Associate Job Description
Job Description Example
Our innovative and growing company is looking for an auditor associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for auditor associate
- Contributes significantly to the learning and development of audit staff
- Maintains expert level GxP knowledge in preferably two regulated domains (GLP/GCP/Non Regulated/PV/IT/GCLP/Animal Welfare) with the ability to provide critical information, advice and guidance on complex quality and compliance issues
- Provides consultation to business partners when developing CAPAs
- Conducts simple to moderately complex audits of unit/department/division systems, processes, and controls in accordance with the Standards for the Professional Practice of Internal Auditing
- Reviews and evaluates organizational controls over financial and non-financial resources for compliance with laws, regulations, contracts, and grants
- Reviews operations or programs to ascertain whether results are consistent with established objectives and values
- Through the audit process, grasps an understanding of unit/department/division resources and operations
- Collects information during the audit process, identifies discrepancies and anomalies, conducts analysis and makes recommendations for management action
- Prepares relevant documents to support conclusions for audit projects
- May prepare and assist in communicating audit findings and recommendations to management via written reports and oral presentations
Qualifications for auditor associate
- Develop and maintain client relationships and deepen your business knowledge (also via training)
- Execute audits with due professional cares and within IIA standards and in compliance with the global CAS methodology
- Minimum 3 years relevant work experience within Financial Services
- Ability to review and develop code
- Good programming skills, C/C++, R/S+, Matlab
- Familiarity with security and control frameworks such as ISO 17799, COBIT, COSO, Common Criteria, FFIEC
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Auditor Associate Job Description
Job Description Example
Our company is looking to fill the role of auditor associate. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for auditor associate
- Serve as liaison between the Bureau staff and the staff of an entity being audited
- Work independently on audits and communicate with the auditee to explain audit results
- Draft audit programs to ensure that audit objectives are identified and that there is a step-by-step plan to accomplish those objectives
- Responsible for the oversight of staff work including the review and approval of subordinate work papers ensuring that staff follows generally accepted accounting and auditing standards to complete their work
- Prepares audit reports which can be readily reviewed by the supervisor, and will explain any technical questions raised by the Audit Manager on the content of the review
- Manage the audit and FCG scheduling tool(s) including any necessary updates
- Maintain and track annual audit plan
- Contribute insight and strategic thought to the direction of the department through benchmarking and best practice reviews
- Plan and execute IT application, infrastructure and project audits
- Track the status and resolution of issues raised
Qualifications for auditor associate
- The candidate will be required to complete all work assigned to them on a timely basis
- The candidate must be a qualified professional with a minimum of 5 years of professional experience in auditing or financial accounting/reporting under U.S. GAAP and/or IFRS
- Internal audit and/or Big 4 experience with a major financial services company is expected
- At least 5 years in banking/securities industry or relevant experience in compliance/internal controls
- Strong influencing skills with ability to drive initiatives/projects across the various businesses, with can do attitude
- Multi tasking is essential, and manages priorities effectively
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Auditor Associate Job Description
Job Description Example
Our company is looking to fill the role of auditor associate. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for auditor associate
- Supervise the execution of technology control testing
- Undertakes special audit projects and advisory and consulting services in conjunction with colleagues
- Assists with the drafting of reports and work papers, including succinct summaries of audit objectives, scope, findings, conclusions and management actions
- Maintains continued professional education requirements and regular and predictable attendance
- Partner with colleagues, clients and control community members to develop, evaluate, test and report on the adequacy and effectiveness of control environment
- Undertakes audit assignments, drafts audit findings for review by their Principal Audit Manager, facilitates issue tracking and validates closure of issue
- Partners with other audit teams during audit engagements to ensure comprehensive coverage and an integrated approach to front to back audits or horizontal coverage of associated support functions
- Communicates openly within their team and the internal stakeholders
- College degree, knowledge and experience of financial services
- The ability to demonstrate the meeting of client needs in a work environment
Qualifications for auditor associate
- This position typically requires an undergraduate degree
- Proactive and self-motivated in approach to work
- A good Degree in Computer Science, Information Technology, with at least 3 to 4 years of audit experience in a Big 4 firm
- Ability to "think out of the box" where necessary, in supporting the planning, fieldwork or reporting of results on audit engagements
- Post graduate qualifications or professional memberships would be considered favorably
- All audit backgrounds welcome, including Big 4, Securities, Compliance, AML, and Technology
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Auditor Associate Job Description
Job Description Example
Our growing company is searching for experienced candidates for the position of auditor associate. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for auditor associate
- Supervise documentation of ITGC process flows
- Ensure the request and organization of ITGC source documentation
- Review ITGC work papers
- Produce and monitor ITGC review notes
- Prepare clear, comprehensive workpapers that support the work performed and conclusions
- Prepare audit reports that effectively address the key issues to be raised to management's attention, with minimal supervision or editing required
- Holding preliminary discussions of the audit findings and results with operating personnel to verify facts and to ensure that everyone has a thorough understanding of the nature, source and extent of the issue
- Work closely with other regional/global business and information technology audit colleagues within the Asset and Wealth Management team in the early identification of emerging control issues and reporting them timely to Audit management and business stakeholders
- Execute supplier audits
- Partner with supplier to establish relationships
Qualifications for auditor associate
- Exposure to Banking / Financial Services Regulations
- A Bachelor's Degree in accounting, finance or other field of study relevant to auditing
- Good analytical skills with the ability to identify and assess risk and exposures across a wide variety of processes
- Self-starter with the ability to work as part of a team
- Must have all necessary credentials to work at the Jet Propulsion Laboratory
- One year of relevant audit and advisory experience
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Auditor Associate Job Description
Job Description Example
Our company is looking for an auditor associate. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for auditor associate
- Evaluates effectiveness of controls at the network, operating system, database and application level
- Develops information systems audit programs and control guidelines
- Documents business and systems processes / data flows
- Identifies areas of risk for inclusion in the master audit plan to management
- Documents areas of risk, including potential company exposure and audit activities to determine extent of the risk areas
- Creates ad-hoc reporting and file extracts from various platforms to management and external agencies when needed
- Participating in both technology and integrated audits, monitoring various projects with major application development initiatives, and performing continuous risk assessments of coverage areas
- Assist on audit engagements covering Corporate Sector functions including AML Alerts and Investigations, Suspicious Activity Reporting and transaction monitoring
- Assist with audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure
- Organizing and leading interviews and meetings on complex topics and audit missions with Auditees and Senior Team Members
Qualifications for auditor associate
- Good understanding of controls related to banking applications (preferable to have investment banking applications knowledge), operating systems, networks, databases and IT projects
- A good understanding of control environments and risks in the finance industry
- Relevant professional qualifications (e.g., CISA, CISSP, CRISC)
- Experience in Financial Services auditing roles
- Ability to influence auditees
- Ability to develop strong relationships across various departments and levels