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Audit Team Lead
United Community Banks
Greenville, SC, United States
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Reports To:Chief Audit Executive (CAE)- indirect; Senior Audit Manager- (direct)
Direct Reports:Varies: Project-based
The Audit Team Lead is responsible for supervising internal audit engagements, which includes activities such as planning, scoping, reporting and ensuring department Standards are met. Experience with Dodd Frank Act Stress Testing (DFAST), and Model Risk Management is preferred. You will report to the Senior Audit Manager and be responsible for ensuring appropriate testing has been designed and executed. This includes review and approval of audit work papers with a lens on quality, completeness, accuracy, and timeliness.
JOB REQUIREMENTS:
• Minimum of a Bachelor’s degree in accounting, finance, or business administration, or related field
• Minimum five years of progressive audit, compliance or risk management experience within financial industry. Experience must include successful record of staff and project supervision and management.
• Professional certification, such as CPA, CIA, CBA, CFSA, CISA, etc., or other relevant certification
• Excellent analytical skill and attention to detail
• Demonstrate strong written and verbal communication skills
• Supervise multiple senior auditors and auditors on audit engagements; ability to develop auditors and seniors and maintain their motivation while ensuring quality of work
• Maintain an understanding of banking and financial services, applicable regulatory guidance and industry knowledge
• Maintains all organizational and professional ethical standards
• Willingness and ability to travel, approximately 15-20%
• Team Player with a strong work ethic
• Participate and complete all required compliance training, including Bank Secrecy Act/anti-money laundering training, as well as internal and external training programs, online training, meetings, and seminars/conferences, etc.
JOB FUNCTIONS:
• Supervise high quality, professional day-to-day planning, scheduling, execution, and reporting of internal audit engagements and projects within established timelines and budgets; supervise the entire audit engagement lifecycle from planning through reporting working with Staff Auditors and Senior Auditors as applicable
• Reviews audit work including work papers, findings, recommendations, and the final report to ensure adherence to the Corporation’s/Department’s Policies and Internal Audit Professional Practices Framework Standards
• Supervise the evaluation of key risks and internal controls, review and approve audit programs, risk and control matrices, evaluate and approve benchmarking of financial and operational processes and controls, and evaluate opportunities for efficiencies/performance improvement based on leading practice; work with Internal Audit Managers and the SVP of Internal Audit to communicate findings/recommendations to senior management and client personnel
• Lead annual risk assessment activities, as appropriate, including: lead interviews and/walkthrough processes, develop audit plans and risk assessment templates as well as preliminary audit scope areas for further evaluation; work directly with Internal Audit Manager and the SVP of Internal Audit to identify auditable entities and risk factors
• Functions in various roles on audit engagements, including leading audits, staffing audits, and providing consulting or oversight functions based on the needs of the team
• Supervise team testing procedures including, but not limited to, sampling levels, analytical procedures, Computer Assisted Auditing Techniques (CAATs), and other audit procedures to address risks identified and to test internal controls
• Evaluate the work performance of Auditors/Senior Auditors using appropriate department and industry standards, provide feedback/guidance on audit work performed and results by reviewing work papers and validating audit issues to ensure clearly articulated issue/root cause, risk/exposure, and recommendations for improvement
• Discuss Management concerns through building relationships; and work with Management in an organized and knowledgeable manner/actively lead/oversee management discussions and meetings
• Use available technical resources and tools to research and expand one's sphere of knowledge to enhance audit value; remain up-to-date on industry trends while sharing the knowledge amongst the team where applicable
• Supervise SOX testing as necessary including execution and review of completed internal controls testing with the assistance of the Audit team members, as appropriate
• Perform other duties as assigned