Assistant Auditor Job Description
Assistant auditor
provides consulting services to business process owners (BPOs) in the design and implementation of controls – this may include providing education and training to both control owners and operators on COSO framework concepts, SOX compliance concepts, and financial reporting risk management principles.
Assistant Auditor Duties & Responsibilities
To write an effective assistant auditor job description, begin by listing detailed duties, responsibilities and expectations. We have included assistant auditor job description templates that you can modify and use.
Sample responsibilities for this position include:
Lead audit engagements covering Consumer Banking technology including risk assessments, audit planning, audit testing, directing audit staff, control evaluation, audit report drafting, and follow-up and verification of issue closure
Work with global line of business Audit teams (Corporate & Investment Bank, Consumer & Community Banking, Commercial Bank, Asset Management, Technology, ) to identify emerging compliance related control issues, and reporting them to line of business and audit management
Monitor operational and financial related data to recognize patterns and trends with risk and control implications
Partner with colleagues and stakeholders to independently evaluate, test and report on the adequacy and effectiveness of controls
Participate actively as a member of the Global Fixed Income audit team, disseminating best practices globally regionally
Establish strong working relationships with key stakeholders in the Investor Services organization and with other control functions
Communicate audit issues and results in both verbal and written form, and be able to influence effectively
Be flexible and adaptable to dynamically changing work environments, including some travel to other countries as part of regional audit engagements
Participate actively as a member of the Global Equities audit team, disseminating best practices globally regionally
Establish strong working relationships with key stakeholders in the IS organization and with other control functions
Assistant Auditor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Assistant Auditor
List any licenses or certifications required by the position: CPA, CISA, AML, BLS, CISSP, CISM
Education for Assistant Auditor
Typically a job would require a certain level of education.
Employers hiring for the assistant auditor job most commonly would prefer for their future employee to have a relevant degree such as Collage and University Degree in Accounting, Finance, Education, Accountancy, Technical, Business, Management, Business/Administration, Auditing, Public Administration
Skills for Assistant Auditor
Desired skills for assistant auditor include:
Microsoft
Ability to learn and apply applicable professional auditing standards
Audit workpaper software
Banner
Business management
Financial principles and internal controls concepts
Operational
Regulatory Compliance
Regulations
Experience with assessing their application in practice
Desired experience for assistant auditor includes:
Knowledge of Distributed Technologies a plus
Bachelor's degree in Computing, Accounting, Finance, or other related area
Professional accountancy qualification and/or other professional certifications, CFIRS, CFA are a plus
4-6 years of experience, successful candidate likely to have Big 4, large regional firm or Financial Institution experience
Fluent in written and spoken Russian and English
Previous audit or relevant business line/risk management experience
Assistant Auditor Examples
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Assistant Auditor Job Description
Job Description Example
Our company is searching for experienced candidates for the position of assistant auditor. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for assistant auditor
- Gather required and relevant data for the mission in compliance with confidentiality and ethic rules
- Partner with business management, other control groups
- Execute and document audits with limited supervision and to a high standard in accordance with department and professional standards
- Participate actively as a member of the Global CIB and CTC Finance audit team, disseminating best practices globally regionally
- Assist in executing an effective program of continuous auditing for assigned areas
- Lead or assist on audit engagements covering OFAC and Sanctions functions including risk assessments, audit planning, audit testing, control evaluation, audit report drafting and follow-up and verification of issue closure
- Assist with planning and wrap-up phases
- Ensure audits include review of internal controls, PCI compliance, system implementations, internal audit testing, and cyber security
- Support the Principal Audit Manager (PAM) by providing proactive management and delivery of a complex and dynamic risk based audit plan
- Develops and maintains broad financial services experience and Bank product knowledge
Qualifications for assistant auditor
- Excellent verbal and written communication and interpersonal skills, with the ability to present complex and sensitive issues to senior management
- Proven ability to manage multiple tasks concurrently in an efficient and effective manner with minimal supervision
- Minimum Bachelor's degree in Accounting, Finance or related discipline and/or other relevant professional qualifications, CPA
- At least 8 years’ audit or relevant experience within a financial services industry
- Strong knowledge of Investor Services products, particularly on F&O and Securities Financing
- Ability to carry out complex tasks under time pressure, while maintaining a high quality level
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Assistant Auditor Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of assistant auditor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for assistant auditor
- Monitor issues and trends throughout the year with the goal of developing and communicating a view as to the design and effectiveness of the processes and controls emerging risks and concerns
- Independent in judgment
- Able to effectively multitask in a fast paced environment
- Experienced in delivering work under tight deadlines
- Excellent written/verbal communicator and be able to communicate effectively at all levels
- Establishes and maintains a client service/relationship approach with clients in order to understand their business needs
- Plan audits documenting activity flows of the processes to be reviewed, identifying risks and the key actual controls in place to mitigate the identified risks and attending meetings with internal stakeholders as and when required
- Undertake audit assignments, assist in drafting audit issues for review by audit management, conduct issue tracking and validate closure of issues
- Develop and maintain broad regulatory knowledge & experience
- Performing full scale supplier audits of contracted ground handling providers, including audit reporting and follow-up
Qualifications for assistant auditor
- Audit experience (leading, managing projects and participating in audit assignments in a team environment) is essential
- Product knowledge relevant to the Custody and Fund Services businesses is favorable
- Minimum Bachelor's degree in Accounting, Finance or related discipline and/or other relevant professional qualifications, CA/CPA
- A Bachelor's degree in Accounting, Finance or a related discipline and relevant professional qualifications
- Audit experience in financial services, with knowledge of the Custody and Fund Services businesses highly regarded
- Ability to manage multiple tasks concurrently, remain effective under pressure takes personal responsibility/accountability
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Assistant Auditor Job Description
Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of assistant auditor. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for assistant auditor
- Reporting to the group Director of Operational Audit Regional Vice Presidents on principal findings and recommendations
- Work collaboratively with other members of the Operational Audit Department on annual objectives and special projects
- Work collaboratively with local Senior Regional Management to evaluate operational consistency and LAZ policies and procedures
- Managing the ground operations audits and compliance monitoring inspections in auditing software
- Processing safety reports related to ground operations and bird strikes
- Submitting reports to Hungarian authorities
- Participating in internal and external safety and compliance related projects
- Perform continuous audit coverage and relationship management within Asset Management
- Perform detailed control assessments and test work across multiple Asset Management functions and processes
- Gain an understanding of and analyze an IS department, an application, a project in terms of risks
Qualifications for assistant auditor
- Strong interpersonal skills, with the ability to present complex and sensitive issues to senior management and influence change
- Ability to travel within Asia (up to 30%)
- Independent self motivated audit professional with proven ability to multitask and is effective under pressure
- Strong verbal and written communication skills with the ability to articulate risk/issue effectively and influence local stakeholder
- Ability to travel within the Asia region
- Good technical knowledge of CIB or CTC products and basic accounting fundamentals, with exposure to liquidity and asset and liability allocation desirable
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Assistant Auditor Job Description
Job Description Example
Our innovative and growing company is looking to fill the role of assistant auditor. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for assistant auditor
- Establish strong work relationships with Asset and Wealth Management business management and other control groups (risk management, compliance, legal)
- Ensuring development / continuous improvement and implementation of necessary PV systems to ensure compliance to worldwide regulations and corporate policies
- Leads the development of the global asset management risk assessment and audit plan, effectively incorporating the needs of and input from key stakeholders, including Combined Assurance Functions, Audit Committees and Executive Leadership
- Assess the risks and test the relevant controls
- Define areas of improvement and formulate recommendations
- Manage the relationship with the audited entities with diplomacy while remaining independent
- Follow up the implementation of audit recommendations
- Execute audit fieldwork in line with the agreed audit approach documenting Activity Flows, identification of key risks and testing of key controls to determine whether they are properly designed and are operating effectively and documenting work in accordance with GA standards
- Communicate openly with GA management and the internal stakeholders
- Proactively engage and partner with Enterprise Technology audit team members and data analytics team members to help deliver new Continuous Auditing deliverables
Qualifications for assistant auditor
- CPA, CIA, ACAMS or similar designation preferred
- 4+ years experience in a Financial Services firm or in public accounting, with an appropriate level of exposure to and involvement with Risk management
- Prior to appointment, the hiring agency is required to verify educationclaimed by the applicant to qualify for this classification
- Communicates openly with divisional management and the internal stakeholders
- Sound audit experience and an understanding of the business, risks and regulatory requirements in the Japan Financial Services industry
- Professional/industry recognised qualifications CISA (for IT auditors), Accounting qualifications such as ACA and CPA
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Assistant Auditor Job Description
Job Description Example
Our innovative and growing company is looking for an assistant auditor. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for assistant auditor
- Leading both technology and integrated audits, monitoring various projects with major application development initiatives, and performing continuous risk assessments of coverage areas
- Must have both English and Japanese language proficiency, as this role will interact with Japanese regulators
- Of tips calculation
- Directs the Grant Monitoring program of the Auditing Department, including the establishment and communication of goals, objectives, and performance measures for the unit
- Test and inspect product, ingredients, and materials used at all stages of production for conformance to company standards
- Further development and deployment of quality systems
- Oversee the training of plant employees in accordance with the quality, sanitation and HACCP programs
- Track and coordinate nonconformance issues within and between departments
- Prepare facility for GFSI certificaton
- Perform audits at operating locations to detect potential fraud and revenue leakage using different audit methodologies
Qualifications for assistant auditor
- Excellent written/verbal communication skills, communicating with clarity, both orally and in writing, in a logical order and structured approach
- Working knowledge of Sanctions & Embargoes system requirements, understanding of algorithms and scenarios, experience with validating data integrity, mapping fields from source systems to Sanctions software
- Any candidates who don’t meet the full requirements for the AVP will be considered for an Internal Audit, Associate role
- Thesis in Quality / Safety systems management is an advantage
- Previous experience in airport operations/ground handling is an advantage
- Availability to moderate travel