September 21, 2016

Senior Auditor ( Operations )

A Banking and Financial Services Company - San Ramon, CA

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Job Description




* CPA or CRCM or CIA or CAMS
* 7years of Auditexperience
* Bank Audit or ERM
* IT audit OR Credit
* Trust Audits

Must come from Fin services or Public accounting firms



Total Openings: 2

The AUDIT LEADER is primarily responsible for day to day audit delivery for audit assignments for the area of assigned auditresponsibilities for the Bank.


1. Leads large and complicated, integrated audits as the Head of Assignment. Responsible for the related audit scoping, planning, evaluating, reporting, and supervising.

2. Completes continuous monitoring activities for assigned audit entities and escalates matters that may impact the timing of the next audit assignments.

3. Prepares, updates, and/or reviews risk assessments for assigned audi entities.

4. Validates the sufficiency and suitability of business corrective actions to address audit recommendations or completes 2nd level of supervisory review over audit recommendation closure over non-complex findings.

5. Communicates effectively, clearly, concisely, and accurately using written and verbal communications with all levels of management.

6. Demonstrates emerging expertise in audit, risk, compliance, banking, and/or product knowledge.

5- 10 years experience
*Bachelor's Degree in applicable and related field
*Required license(s) or certification(s) CIA, CISA, CPA, CAMS, and/or CRCM

Minimum years of audit and /or risk experience: Typically 8+ years

Primary focus of role is on day-to-day deliverables, developing solutions based upon subject expertise, and occasionally representing the department at a broader level.
Maintains current on industry developments affected areas of assigned responsibilities.

* Bank Audit Activities
Banking laws and regulations region and branch banking operations asset and liability management treasury (including derivatives) lending (including evaluation of loan loss reserve, syndication desk, and other real estate owned) expenditures deposits PC and telephone banking (including FCC requirements) related systems etc.

* Credit and Counterparty Activities
Commercial and industrial lending commercial real estate trade finance consumer lending financial statement analysis loan underwriting and structure valuation highly-leverage transactions accounting standards Uniform Commercial Code capital markets and other non-traditional credit areas including off-balance sheet credit risk etc.

* Enterprise Risk Management Activities
Enterprise Risk Management practices for large, complex banking organizations (LCBOs) capital management and planning stress testing model risk governance and management operational risk financial reporting (including FDIC and state call reporting requirements, GAAP, and SEC requirements) budgeting cost accounting (including transfer pricing and cost allocation) incentive programs etc.

* IT Audit Activities
Federal Financial Institutions Examination Council (FFIEC) and American National Standards Institute (ANSI) requirements application development and maintenance computer operations technical services communications information security (including system access control software, firewalls and encryption) end user computing (including Internet, local and wide area networks, client server technology, and PCs) contingency planning operating systems (including associated program products) database structures and access methods system analysis and design programming and data extract languages and techniques etc.

* Trust Audit Activities
Common law and trust regulations account administration (including ERISA requirements) operations investment management mutual funds (including SEC requirements) real estate trust tax financial reporting (including FDIC and state call reporting requirements, GAAP, and SEC requirements) related systems etc.

* Technology Support
Responsible for providing development and technical support on the key applications for the Inspection Group as well as acting as the primary technology liaison for the Inspection Group with the Bank and Inspection General. The successful candidate will have a solid VBA development background, strong understanding of the Bank's technical infrastructure, and a desire and aptitude to learn and deploy new technologies etc.