Operational Auditor Job Description
Operational auditor
provides advice to Audit Committee: Provides objective information for the Audit Committee to determine Management is maintaining effective disclosure controls and processes, risk management systems, and internal control processes and systems.
Operational Auditor Duties & Responsibilities
To write an effective operational auditor job description, begin by listing detailed duties, responsibilities and expectations. We have included operational auditor job description templates that you can modify and use.
Sample responsibilities for this position include:
Trade finance, international banking or syndicated loan experience a plus
Audit major components of business units and may lead small to medium size audits
Design and execute internal control testing for operations of varying complexity
Perform variance analysis and budget tracking
Establish and maintain effective relationships with Middle and Senior-level Management across the firm to better position the Audit function to perform audits and provide value added services to the firm's clients
Plan, coordinate and/or execute Trading, Operational, Financial (including SOX), and Regulatory audits utilizing a risk based methodology
Identify and document control weaknesses
Work on project teams and advise Business Management, Operations, Finance, and the Compliance organizations with the control design and the control implementation for firm-wide initiatives
Leads audit engagements
Executing the audit plan, delivering risk led reviews contributing in business aligned reviews
Operational Auditor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Operational Auditor
List any licenses or certifications required by the position: CIA, CPA, CISA, CPC, CFE, CFA, CFSA, CISSP, CGEIT, CRISC
Education for Operational Auditor
Typically a job would require a certain level of education.
Employers hiring for the operational auditor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Associate Degree in Accounting, Business, Finance, Education, Auditing, Business/Administration, Engineering, Economics, Computer Science, MBA
Skills for Operational Auditor
Desired skills for operational auditor include:
Excel
Internal audit policies and operating principles
Administrative/financial systems and related control requirements
Audit Command Language
Auditing techniques
Banking
Data analyses software
FDICIA
Information systems/technology fundamentals
Insurance principles
Desired experience for operational auditor includes:
Certification or advanced degree a plus, CRCM designation desired
Minimum of four (4) years of professional experience that must include lending compliance, particularly in the areas of TRID, FCRA, FACT Act, Flood, HMDA (Regulation C), HPML, CRA and Fair Lending (Prior experience in internal auditing, a plus)
Familiar with Microsoft PC products
Must be "hands-on" and have excellent communication skills including writing
Local travel to clients in the NY/NJ/PA metropolitan area
Some out of town travel
Operational Auditor Examples
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Operational Auditor Job Description
Job Description Example
Our growing company is looking for an operational auditor. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for operational auditor
- The individual willprimarily perform work in the various areas of Utility Operations, Security, and EHS processes, including regulatory compliance processes, on highly complex, sensitive and/or specialized projects
- Participate in the performance of consulting engagements as requested by management and offer recommendations to enhance effectiveness and efficiency of operations Senior management occasionally requests the Audit Services Department to act in an advisory capacity to evaluate operations and provide recommendations to improve an organization’s governance, risk management, and control processes
- Maintain contact with inter- and intra-department personnel, managers and supervisor
- The individual will primarily participate as an audit team member, primarily in the areas of utility, regulatory operations, on highly complex, sensitive and/or specialized projects or audits having a major significance/risk to the Company by following the audit protocols and work program
- The individual will primarily perform work in the areas of Utility Operations, Security, and EHS processes, including regulatory compliance processes, on highly complex, sensitive and/or specialized projects
- Inspect daily operation to determine if SOP’s are being followed
- Perform operational and compliance audits to provide assurance to the Company regarding effectiveness and efficiency of internal controls and compliance with appropriate laws, rules, regulations, and policies
- Assesses the risk of fraud during the conduct of normal audits and regular monitoring of operational transactions
- Conducts fraud investigations and other special investigations and assignments, as necessary
- Provides support to the Field Audit Supervisor, as required
Qualifications for operational auditor
- 7+ years of experience, 5+ with a Master’s Degree (4 of which must have been in accounting or auditing)
- Must have a Bachelor's degree (or higher) in Safety Sciences, Industrial Health and Safety, Business, or Engineering (Civil, Mechanical, Chemical, Industrial) or related field
- Master's degree in Business, Industrial Health and Safety, Industrial Hygiene, or Engineering, preferred
- Utility or Process Industry experience is highly desirable
- Knowledge of the audit function and audit techniques
- Bachelor’s or Master’s degree in Business Administration, Economics, International Affairs, Law or Science
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Operational Auditor Job Description
Job Description Example
Our innovative and growing company is searching for experienced candidates for the position of operational auditor. If you are looking for an exciting place to work, please take a look at the list of qualifications below.
Responsibilities for operational auditor
- Complete reviews and special projects/investigations at the direct request of senior management
- The Senior Operational Auditor will report to the Director, Enterprise Risk & Audit Services
- Provide a contribution to the development and delivery of a risk based Operational audit plan
- Focus on the controls to manage strategic and key risks through all areas of business activity, stages of work and parties involved (including suppliers and subcontractors)
- Conduct operational audits ensuring proper planning, testing, reporting and monitoring of corrective actions
- Identify non-conformities and areas of good practice against BB Management System requirements
- Produce appropriate reports and management information
- Proven experience of developing and delivering operational audit plans
- The ability to analyse complex information and pursue issues to obtain clarity
- Experience with ISO recognised standards
Qualifications for operational auditor
- Minimum of 3 years experience in Audit
- Bachelor’s Degree in Accounting, Computer Science, Finance, Business Administration, or Engineering
- CIA, CPA, CMA, or CISA certification preferred
- 2 - 4 years of experience in the field of auditing, international working experience
- Very good presentation and communication skills, fluency in English
- Auditing work experience with exposure to retail operations is preferred
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Operational Auditor Job Description
Job Description Example
Our innovative and growing company is hiring for an operational auditor. 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 operational auditor
- Previous experience preparing clear and concise audit reports
- Executing audit fieldwork in line with the agreed audit approach documenting activity flows, identifying key risks, testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with divisional standards
- Travel to company locations to perform operational audits of key processes and controls
- Obtain and analyze data to meet audit program needs
- Work with store operations, distribution center, and back office support to assess operational effectiveness of internal controls
- Accurately complete internal audit programs
- Partner with operation personnel to submit management action plans that effectively meet identified internal control opportunities
- Follow up on any concerns and submit draft audit results with management response to audit management for review and distribution
- Escalate significant issues/findings timely to insure company's assets are protected
- Support other departmental initiatives as needed or assigned
Qualifications for operational auditor
- Ability to recognize and act on deviations from sound internal control practices
- Ability to identify and address risks within more complex systems
- Inter-personal skills to establish credibility and build working relationships with customers
- Capable of working in an unsupervised capacity
- Demonstrates ethical and moral conduct, and unquestionable integrity and objectivity
- Minimum of 4 years of relevant business experience, preferably public accounting with a Big 4 firm
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Operational Auditor Job Description
Job Description Example
Our company is growing rapidly and is looking for an operational auditor. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for operational auditor
- Book travel and plant audit trips in advance of field visits
- Presents and discusses audit findings draft of recommendations with Bank Management
- Lead and/or support audit teams from one to four members on audit projects and follow-up activities
- Identify and assess project risks and controls
- Develop audit programs and project plans
- Perform and review audit work
- Report agreed-upon results to management and other stakeholders
- Manage project deadlines and budgets
- Manage relationships with assigned staff and stakeholders
- Perform project performance evaluations for assigned staff
Qualifications for operational auditor
- Ability to communicates effectively (oral and written) with different levels of management
- Strong understanding of operational and financial internal controls and internal audit methodology
- Excellent analytical, communications, interpersonal, and audit investigative skills
- Strong organizational skills, the ability to multi-task and manage project deliverables
- Bachelor’s degree in an appropriate field from an accredited college/university required
- Familiarity with Enterprise Resource Planning packages, Customer Relationship Management packages, Data Analytics tools (ACL, Spotfire and Tableau) a plus
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Operational Auditor Job Description
Job Description Example
Our company is growing rapidly and is looking for an operational auditor. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for operational auditor
- Plan and execute operational audits and fraud investigations
- Help with planning time budgets and task assignments
- Ensure internal audit program steps assess key internal controls and that they accomplish audit objectives
- Verify accuracy of WF books and records
- Recommend best practices to move WF forward
- During fieldwork continually communicate issues and gain alignment around corrective actions
- Perform Inventory and Fixed Asset observations at Plants, Freezers, Coolers, Feed Mills, Hatcheries
- Perform special projects as necessary including any due diligence work
- Review Medical Pended Queue claims to understand and resolve claim referral issues through research and interaction with other Health Plan Departments including Medical Management, Medical Directors, various committees, and other appropriate Health Plan departments
- Review and analyze claims, medical records and associated processes related to the appropriateness of coding, clinical care, documentation, and health plan business rules
Qualifications for operational auditor
- CPA, CA, CIA certification is desired
- Bachelor's degree in applicable and related field ( Accounting and/or Finance preferred)
- Requires license(S) or certification(s) CPA and CISA
- A professional / industry recognised qualification Certified Information Systems Auditor (CISA) or Accounting qualification
- 2+ years experience (Preferable in a Big 4 Public or National Accounting firm, but comparable business experience will be considered, too!)
- 2+ years of external audit experience, preferably in a Big 4 audit capacity, or 3+ equivalent years of progressive accounting/finance experience