The primary objective of the Auditor is to assist the Senior Manager – Assurance Services in providing independent auditing and consulting services designed to ensure integrity of UFCU’s operations through critical thinking and analytical processes. The primary responsibility is to assist in performing all audits and consulting engagements as assigned in the annual audit work plan, and other engagements as assigned. All activities are to be conducted in compliance with UFCU policies and the Standards for Professional Practice of Internal Auditing (the Standards), as promulgated by the Institute of Internal Auditors.
# (In order of importance)
Essential Function Description
- Performance of risk based audits
- Performance of Financial Center audit program
- Performance of regulatory compliance audits
- Contribute to and develop audit scope, procedures, testing, and reports under management oversight
- Participate in communicating audit results to appropriate levels of management.
- Report immediately to the Senior Manager – Assurance Services of any irregularities involving accounts of executives and/or management personnel or their immediate families. Irregularities are defined as violations of law or regulations and/or conditions which may lead to financial loss; this does not include minor problems of documentation or other minor matters.
Risk Assessments and Audit Work Plan
- Contribute to annual risk assessment
- Contribute to and develop annual financial center risk assessment
- Contribute to audit work plan
Research and CPE
- Develop familiarity with network administration policy, business continuance plans, and other IT security and control issues.
- Stay abreast of laws, regulations, and internal policies to ensure management develops and implements appropriate procedures to meet regulatory compliance requirements.
- Remain informed about related internet security, audit, and control implications.
- Participate in professional organizations devoted to study and professional support for the disciplines of accounting and internal audit.
- Maintain minimum Continuing Professional Education (CPE) requirements and records.
- Pursue relevant certifications in the audit field, such as Certified Internal Auditor (CIA), Certified Financial Services Auditor (CFSA), or Certified Information Systems Auditor (CISA).
- Take notes during Supervisory Committee meetings and draft minutes for management review
- Conduct pre-planning activities for the Independent Audit
- Order supplies for department
Other duties as assigned
- Bachelor’s degree in Accounting or Business Administration
- Minimum of six (6) months experience in accounting, auditing, quality control, and/or regulatory compliance.
- Experience with financial institutions preferred.
Specialized Knowledge, Licenses, Certifications, etc.
- CIA, CFSA, or CISA certification(s) preferred.
- Absence of formal certification will require incumbent to acquire and maintain professional certification within 12 months of start date.
- Effective communicator both written and verbally.
- Knowledge of personal computers and software applications, specifically spreadsheets and word processing skills.
- Ability to maintain strong collaborative working relationships with staff, management, and UFCU volunteers. Team player who makes a contribution to the accomplishment of annual and long-range strategic goals.
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