SUMMARY OF DAY TO DAY RESPONSIBILITIES for Senior Auditor for Business Process

 

The main function of a Senior Auditor - ICFR SOX Testing is to carry out a comprehensive testing of design and operational effectiveness of SOX/Internal controls over Financial Reporting.

 

-       Test of internal controls over Financial Reporting

-       Managing stakeholders

-       Requesting Audit evidence and leading work throughs

-       Documenting proper documentation of control testing

 

 

KEY ACCOUNTABILITIES

 

CUSTOMER

Conduct audit work based on established audit plans and execute the audit in accordance with established standards ensuring completion Develop/contribute to the audit planning process for specific audits, ensuring appropriate programs and risk assessments are completed accordingly Manage the ongoing audit communications process with the client during and subsequent to the audit Present objective and independent audit opinion on the adequacy of internal controls in accordance with established professional audit standards, including presentation of findings and recommendations to client and audit management Execute follow-up of findings raised from regulatory and internal divisional audits in accordance with firm policy Provide subject matter expertise and/or input to audit projects/initiatives as a representative for area of specialization Lead/support the audit engagement and risk assessment process to identify key risks and identify opportunities where controls are missing or are inadequate to mitigate these risks

 

SHAREHOLDER

Adhere to internal policies / procedures, enterprise frameworks and methodologies and applicable regulatory guidelines, contribute to the review of internal processes and activities and assist in identifying control weaknesses/failures, potential opportunities to improve operational efficiencies for own business area May develop and provide complex reporting, analysis, and assessments at the functional or enterprise level Prioritize and manage own workload to deliver quality results and meet assigned timelines Keep current on emerging trends / developments and grow knowledge of the business, analytical tools and techniques and apply them where appropriate Develop and deliver audit findings, presentations / communications to management or broader audience Contribute to the analysis, due diligence and implementation of initiatives within defined area of responsibility

 

EMPLOYEE / TEAM

Continuously enhance knowledge / expertise in own area Support a positive work environment that promotes service to the business, quality, innovation and teamwork and ensure timely communication of issues/ points of interest Identify and recommend opportunities to enhance productivity, effectiveness and operational efficiency Establish effective relationships across multiple businesses Participate in knowledge transfer within the team and business units Work to achieve individual goals and support other team members in the achievement of team goals and divisional objectives

 

BREADTH & DEPTH

Experienced audit professional role providing guidance/ assistance to function supported Requires working professional level knowledge of the functional area and/or business areas supported May lead simple to less complex engagements/initiatives Independently perform tasks from end to end Ability to process and handle confidential information with discretion Generally reports to an Audit Group Manager or Senior Audit Group Manager role

 

 

MUST HAVE:

 

1.) Bachelor’s degree

2.) at least 3 years of experience in SOX controls testing, preferably from the Big Banks or Big 4 Audit firms.

3.) Strong English communication skills, interpersonal skills for interacting with stakeholders

4.) Microsoft – Excel (VLOOKUP, pivot tables, functions)

 

NICE TO HAVE

 

1.) Automation skills – Alteryx, Python

2.) Experience auditing within financial institutions