Associate, Auditor Job Description
Associate, Auditor Duties & Responsibilities
To write an effective associate, auditor job description, begin by listing detailed duties, responsibilities and expectations. We have included associate, auditor job description templates that you can modify and use.
Sample responsibilities for this position include:
Associate, Auditor Qualifications
Qualifications for a job description may include education, certification, and experience.
Licensing or Certifications for Associate, Auditor
List any licenses or certifications required by the position: CPA, CISA, CIA, CAMS, EPIC, CISSP, NYSDOT, CRISC, CISM, ACCA
Education for Associate, Auditor
Typically a job would require a certain level of education.
Employers hiring for the associate, auditor job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Master's Degree in Accounting, Finance, Business, Information Systems, Education, Business/Administration, Communication, Auditing, Information Technology, Computer Science
Skills for Associate, Auditor
Desired skills for associate, auditor include:
Desired experience for associate, auditor includes:
Associate, Auditor Examples
Associate, Auditor Job Description
- Work closely with regional teams in providing support of location governance and control agenda
- Coordinate and implement cross-LOBs projects (ABIA/NBIA/location DD…etc.) and keep tracks any strategic and tactical initiatives
- Perform quality assurance, risk management, country governance, and controls related matters
- Maintain and track the responses to official letters regularly
- Work with regional GP team on philanthropy and CSR events
- Required local/international travel up to 20%
- Analyze and evaluate documentation, reports, data, evidence, ensuring audit conclusions are well-documented
- Ability to lead and be a team member undertaking all phases of the internal audit cycle including
- Responsible for the coordination and oversight of contracted audits to ensure that they are conducted in compliance with company standards, Health Authority (HA) guidelines, regulations and therapeutic area (TA) strategies
- Manages the planning and reporting of contracted BRQA audits of activities, data, internal and external facilities and processes in GxP/non-regulated areas
- Basic knowledge of banking regulations
- Bachelor’s Degree with a concentration in accounting, finance, computer science, operations management or related field
- Must possess a minimum of 2+ years of audit experience
- Must have good written and oral communications and be able to work well with others in the department and with audit customers
- Foreign language skills, particularly French, Spanish or Chinese, would also be desirable
- The Senior Internal Auditor is expected to work towards a professional designation such as CPA, CMA, or CIA
Associate, Auditor Job Description
- May network with other audit professionals or government personnel through external organizations, associations
- Applies general knowledge of laws, regulations, grants, and contracts to identify discrepancies in organizational policies, practices, and/or procedures
- Applies good judgment and initiative to overcome project obstacles and evaluate information
- Utilizes appropriate computer-assisted audit techniques to increase effectiveness of reviews
- May conduct investigations and analysis of suspected irregular conduct
- Actively manage assigned customer service ticket requests
- Use company and audit software to analyze data, set audit scopes and complete testwork
- Plan and organize audit work in accordance with initial audit scope parameters
- Organize audit findings and results
- Keep the audit manager informed of significant developments in the process of an audit or review
- Able to complete tasks to tight deadlines when necessary
- Technical accounting knowledge of IFRS
- Good oral communication and written communication, including report-writing skills
- Ability to convey complex information in an understandable format
- The agility to work across a range of areas
- At least 2 years of knowledge and experience of regulatory requirements with regard to AML and sanctions
Associate, Auditor Job Description
- Perform continuous monitoring of key risks and controls through on-going relationship management
- Initiate and deliver agreed initiatives to achieve continuous improvement
- Maintain up to date awareness of relevant regulatory and statutory environment
- Demonstrate commitment to, and compliance with, applicable laws and regulations, the Company’s Ethics and Compliance Code, and other Company policies and procedures
- Review and respond to correspondence on mail audits within their letter of authority
- Conduct interviews with management regarding the risks being managed by business unit
- Assist in presenting findings and recommendations to business unit management
- Maintaining professional relationships with all managers and staff of entities being audited, other staff who are providing information required by audit
- Adhering to all professional ethical standards required for internal auditors
- Reviews operational and business risk, functions and activities, and evaluates client controls – including financial reporting controls for Sarbanes-Oxley compliance - in order to determine and recommend nature, scope, and direction of proposed audits
- 3+ years of previous Audit experience (Financial
- Must be a team-player possess the ability to work independently
- Senior broker & Futures and Options license are required
- Write and submit summaries of research findings to project manager and/or government
- Product knowledge / experience with either Wholesale/Corporate Lending
- Exposure to Deposit and Lending
Associate, Auditor Job Description
- Big 4 audit or accounting experience is a plus
- Able to successfully navigate a complex and multi-national organization
- Able to build strong relationships and work collaboratively within your own team and others
- Willing to take ownership and responsibility of assigned tasks
- Good written/verbal communicator and be able to communicate effectively with your line manager
- Report findings and client issues to the Portfolio Manager and/or the Senior Portfolio Manager
- Supervise documentation of process flows
- Ensure the request and organization source documentation
- Review SOX work papers
- Produce and monitor review notes
- 2 years of audit experience, successful candidate likely to have Big 4, large regional firm or Financial Institution experience
- Product knowledge / experience with Wholesale Banking lending products (Corporate, Commercial, Import/Export business) preferred
- Desirable Credit Card industry and Third Party Risk experience OTHER
- Minimum of 3 (Associate) to 6 (Assistant Vice President) years of prior audit experience
- Drive and enthusiasm to learn about Cash Management, Trade Finance and Securities Services
- Product knowledge / experience with Mutual Funds and Hedge Funds preferred but not required
Associate, Auditor Job Description
- Aide in the establishment and maintenance of policies and procedures for the supplier management program
- Monitor supplier metrics to ensure supplier performance is measurable
- Maintain key supplier data
- Track supplier conformance to audit commitments and corrective actions (SCAR’s)
- Review supplier change notifications and determine impact to internal systems
- Both standalone technology and business integrated audits, monitoring various projects with major application development initiatives, and performing continuous risk assessments of coverage areas
- Plan, direct and participate in the internal audit program for the NYSOH Marketplace
- Supervise a team of subordinate internal auditors in the performance of audits related to the Marketplace
- Direct the review of the system of management controls related to the collection, aggregation and
- Conducts audits of application, operating systems, platforms and operating systems, requiring a high degree of technical complexity and coordination
- University degree and ACA OR CPA (or overseas equivalents) required
- Strong analytical skills with the ability to process information quickly
- Basic understanding of higher education or research institution, aerospace environment is preferred
- Certification, such as but not limited to Certified Internal Auditor or Certified Public Accountant
- 2+ years of internal audit/SOX experience
- Knowledge of auditing / accounting standards