Overview

The Supervisor, Audit conducts testing in a timely manner, ensuring all audit quality and client relation standards are met, and courteous and professional behavior is observed in all situations. The primary areas of coverage are related to financial risk (ex. Accounting, SOX, Liquidity Risk,  and Interest Rate Risk). 

Responsibilities include:

  • Examines business records and collects information, exercises independent judgment in identifying issues and assessing risk as well as formulates findings and presents the results to the relevant Sr. Supervisor/ Audit Manager.
  • Executes control design and operating effectiveness testing over high complexity areas as part of internal audit reviews and activities.
  • Conducts post-audit high complexity follow-up to appraise adequacy of corrective action taken by management to address audit recommendations.
  • Documents audit testing and follow-up tasks in accordance to relevant audit standards.
  • Reviews and challenges the testing and work papers prepared by less experienced team members.
  • Demonstrates proactivity in professional development activities.
  • Attends professional training actions provided by the company.
  • Provides consistent quality service to both internal and external stakeholders that meets the company’s standards.
  • Participates in the design of audit test steps.
  • Starts supervising and providing coaching and assistance to less experienced team members as part of internal audit reviews and activities. As such, starts reviewing and challenging the testing and work papers prepared by less experienced team members.
  • Participates in the drafting of audit recommendations to be presented to the Audit Manager.
  • Demonstrates proactivity in professional development activities.
  • Develops an advanced understanding of the business.
  • Prior experience is public accounting and financial services internal audit is preferred.

Requirements:

  • Education –
    • Bachelor's Degree: Accounting, Finance, Business or equivalent field.
  • Experience –
    • At least 3-5 years Audit Experience; OR
    • 5-7 years of relevant experience.
  • Skills & Abilities –
    • Analytical and problem solving skills as well as the ability to work independently
    • Technology and computer skills, with the ability to effectively use Microsoft Office (Word, Excel, Outlook, Powerpoint)
    • Detail oriented with organizational skills
    • Verbal and written communication skills
    • Time management skills and the ability to complete multiple projects simultaneously and in a timely manner
    • Ability to work independently with limited supervision
    • Solid diplomatic skills with the ability to resolve conflict in a civil manner

Competencies:

  • Collaboration – Teamwork:
    • Proficient – Applying and Executing
      • Creates a good working environment in the team; works towards shared goals contributing ideas and accepting change
      • Provides assistance and coaches less experienced team members
      •  

  • Execution – Initiative:
    • Proficient – Applying and Executing
      • Displays initiative, flexibility and focus to get things done
      • Actively contributes ideas, suggestions, and constructive comments in meetings and discussions
      •  

  • Change Orientation – Flexibility:
    • Proficient – Applying and Executing
      • Adapts quickly to change and makes suggestions for increasing the effectiveness of change
      • Appropriately shifts attention and refocuses on new goals as a result of changes in priorities or competing work demands
      •  

  • Problem Solving – Problem Identification:
    • Proficient – Applying and Executing
      • Identifies the component parts of a complex situation or problem and the relationship among variables that are not obvious
      •  

  • Customer Focus – Customer Understanding:
    • Proficient – Applying and Executing
      • Probes in-depth to understand the customer’s business needs
      • Explores and understands the customer's alternatives and decision criteria
      •  

  • Influence – Two-way Communication:
    • Proficient – Applying and Executing
      • Communicates in a timely and straightforward manner
      • Probes for additional information, clarifies assumptions and confirms agreed-upon actions
      • Keeps everyone involved informed about progress and issues
      •  

  • Risk Management – Knowledge of Risk Management Policies, Regulations, Processes and Procedures:
    • Proficient – Applying and Executing
      • Executes risk management process and procedures without management direction, and demonstrates awareness of expected results
      • Knows the relationship and impact of actions and results
      • Has an understanding of regulations impacting area supported
      •  

  • Risk Business Acumen – Industry Acumen:
    • Proficient – Applying and Executing
      • Stays current with industry and regulatory trends and emerging risk issues
      • Has good understanding of current market and competitive landscape that the organization operates within