Assistant Vice President & Audit Manager
hace 3 días
Uniondale
The estimated salary is $110,000-$150,000/Annually. Duties and Responsibilities/Results: • Promotes a high level of performance, accountability, and professional development among department staff through effective supervision, coaching, training, performance feedback, evaluations, and recommendations regarding hiring, promotion, development, disciplinary action, and staffing decisions., • Supports the effective daily operation of the Internal Audit Department by coordinating work assignments, monitoring workload and priorities, balancing available resources, and helping ensure audits and department activities are completed timely and in accordance with department expectations., • Supports execution of the annual Audit Plan by assisting with audit planning, budget development, staffing considerations, progress monitoring, and timely escalation of scheduling, scope, resource, or budget matters that may affect completion of planned audit activities., • Supports adherence to the Audit Plan and related budget by coordinating audit commencements, assigning In-Charge auditors, allocating staff resources, monitoring budget-to-actual results, and adjusting schedules or resource plans as needed to address department priorities., • Helps ensure audits are performed in accordance with department methodology and applicable professional standards by reviewing workpapers, evaluating whether documentation adequately supports findings and conclusions, assessing the sufficiency of testing performed, and providing timely feedback to support consistent audit quality., • Ensures new Audit staff are trained in Bank administrative procedures, department methodology, audit techniques, workpaper expectations, narrative preparation, audit program development, support documentation standards, sampling practices, and proper documentation of audit exceptions through diligent review, coaching, and prompt feedback., • Ensures audits of various areas of the Bank remain current, effective, and not outdated by staying abreast of applicable regulatory requirements and guidance, professional standards, internal policies and procedures, and other relevant authoritative sources. Updates audit programs, workpapers, and process narratives accordingly and communicates key changes to the audit team., • Ensures audit findings and regulatory issues are tracked utilizing the Department's automated workpaper software. Ensures follow-up efforts and resolution of audit findings and regulatory issues are adequately documented and timely., • Ensures that department personnel are adequately trained and informed of current trends through attendance at seminars and communicating this knowledge to the staff by holding regular staff and team meetings., • Conducts performance management activities for department staff, including setting expectations and goals, providing coaching and timely feedback, completing performance evaluations, and monitoring Balanced Scorecard (or similar) metrics to support development and accountability., • Serves as the Audit Department's audit management solution administrator (automated workpapers), including user access/role provisioning, workflow configuration, template and library maintenance, report/dashboard administration, data quality controls, and coordination of upgrades, and vendor support. Additionally, provides support and guidance to staff regarding troubleshooting of automated workpaper issues., • Maintains awareness of emerging technologies and audit practices (e.g., AI-enabled analytics, continuous auditing/monitoring, automation) and assesses applicability to the audit function; recommends, pilots, and implements enhancements that improve audit quality, coverage, and efficiency, consistent with Bank policies and regulatory expectations., • Designs, documents, and continuously improves department and audit processes (planning, scoping, fieldwork, issue validation, reporting, and follow-up), including standard workpaper structures, naming conventions, QA checkpoints, and cycle-time targets to support consistent execution across audits., • Develops and maintains efficient approaches for audit data collection and analysis (e.g., standardized PBC/request lists, reusable test scripts, and automated reporting) and collaborates with Information Systems and business partners to obtain reliable data extracts and resolve data issues affecting audit execution., • Demonstrates in-depth knowledge of internal audit practices and risk-based methodologies, including current tools, techniques, concepts, and emerging trends, and applies them to enhance audit planning, testing, documentation, and reporting., • Serves as a collaborative teammate and effective leader who works constructively with others to achieve department goals, shares knowledge, and provides thought leadership to strengthen audit practices and team performance., • Creates, maintains, and updates department procedures and incorporates changes into the Department's Audit Manual as needed., • Supports Management in preparing Audit Committee materials by coordinating auditor deliverables, reviewing key support for completeness and consistency, monitoring submission timelines, and helping ensure materials are accurate, organized, and ready for Audit Management review., • Assists with the coordination of the Safety & Soundness examination administrative items, including First Day Letter tracking, Officer's Questionnaire distribution/collection, and maintenance of related correspondence and support files., • Assists with the completion of Part 363 filing requirements by uploading the Annual Report and Management Letters to the FDIC and NYSDFS portals by the required deadline (generally April 30; adjust as applicable for leap year timing), retaining submission confirmations and supporting documentation., • Monitors the progress of external audits of the Bank by working with the Bank's accounting firm and regulatory examiners., • Assists as needed by performing other related duties that may be necessary from time to time. Required Qualifications: • Bachelor's degree in Banking, Finance, Accounting or other business-related concentration., • MBA preferred and/or audit-industry certification such as CIA, CFSA, or CRMA., • Seven or more years of experience performing financial, operational, compliance, or risk-based audits, including demonstrated experience supervising audit staff, leading audits, managing audit activities, and supporting department-level planning or administration within a financial institution or similarly regulated environment., • Demonstrated knowledge of the Global Internal Audit Standards, risk-based audit methodology, internal control concepts, and applicable banking laws, regulations, and supervisory expectations., • Demonstrated ability to manage multiple priorities concurrently and to direct team workload to meet deadlines and department objectives., • Strong critical thinking, analytical, and problem-solving skills, with the ability to evaluate complex information and develop practical recommendations., • Excellent written, verbal, interpersonal, and presentation skills, with the ability to communicate effectively across levels of the organization., • Committed to an innovative, collaborative, and technology-enabled working style, including continuous improvement and adoption of digital tools where appropriate., • Hands-on, results-oriented approach with a proactive mindset and a strong sense of ownership to drive work to completion. Preferred Qualifications: • Experience with audit management software, data analytics, automation, or continuous monitoring; and prior experience in a banking or financial services internal audit environment. Physical Requirements: None Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.
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