Job Family: Internal Audit & Credit Risk Review

Serve as the third line of defense, providing the Board Audit & Board Risk Committees and senior

management with independent assurance on the quality and effectiveness of internal controls, risk

management (current or emerging), governance processes and systems, and lending units (overall asset

quality, risk and compliance processes, underwriting policies, procedures, limits, concentrations), thereby

helping to protect the company’s value, solvency and reputation. To such ends, Internal Audit evaluates:

the effectiveness and efficiency of these processes and systems; compliance with applicable laws and

regulations, and with the requirements from supervisors; the reliability and integrity of financial and

operational information; and, asset integrity. Credit Risk Review assesses the quality, quantity, direction

and overall credit risk in the organization.

Job Function: Business Audit

Provide assurance on the quality and effectiveness of internal control, risk management (current or

emerging) and governance processes and systems in the Other (non-IT) Risks space.

Summary of Responsibilities:

The primary function of the Sr. Supervisor, Audit is to oversee and provide coaching and assistance to audit

staff as part of internal audit reviews and activities, provided the position's solid understanding of the

business. In addition, the Sr. Supervisor executes part of the testing that requires a deeper understanding

of the area under review. The Sr. Supervisor ensures fieldwork is performed in a timely manner, ensuring

all audit quality and client relation standards are met, and courteous and professional behavior is observed

in all situations.

Essential Functions:

Develops a solid understanding of the business.

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 Audit Manager.

Executes control design and operating effectiveness testing over areas that require a deeper

understanding of the business or function under review as part of internal audit reviews and


Conducts post-audit follow-up to appraise adequacy of corrective action taken to address

audit recommendations.

Documents audit testing and follow-up tasks in accordance to relevant audit standards.

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 with the Audit Manager in the planning of audit reviews and activities and designs

test steps and audit procedures as part of internal audit reviews and activities

Supervises and coaches audit staff as part of internal audit reviews and activities. As such,

oversees field work and reviews and challenges the testing and work papers prepared by

audit staff as part of internal audit reviews and activities, including post-audit follow-up.

Prepares a draft of the recommendations to be presented to the Audit Manager.

Assists the Audit Manager in assigning staff to complete specific audit tests and procedures.

Ensures fieldwork is completed within the budgeted timeframe.

Starts participating in the drafting of sections of the audit report/ conclusion document.

Communicates findings to business management and assists the Audit Manager in discussing

the draft of recommendations with business management.

Other Functions:

Acts as a subject matter expert (SME) while providing leadership, guidance, and mentorship

to other project managers.

Other duties as assigned.


Education -Bachelor's Degree: Accounting, Finance, Business or equivalent field.

Experience -At least 5-7 years audit experience; OR7-9 years of relevant experience.

Skills & Abilities – Analytical and problem solving skills as well as the ability to work

independently. Ability to work independently with limited supervisionTechnology and computer

skills, with the ability to effectively use Microsoft Office (Word, Excel, Outlook,

Powerpoint). Detail oriented with organizational skillsVerbal and written communication

skills. Time management skills and the ability to complete multiple projects simultaneously and

in a timely manner. Solid diplomatic skills with the ability to resolve conflict in a civil

manner. Great leadership skills, teamwork skills, as well as the ability to work independently

Licenses & Certifications – CIA or/ and field-related certification (CPA, CRCM, CRMA, CFE,

CAMS, CFSA, CBA, etc.) preferred.


Collaboration – Relationship Management:Advanced – Leading and Guiding Improves

relationships between key individuals to achieve seamless cross-team work flow and

positively impact resultsUses informal networks to gain support for ideas and projects

Execution – Accountability:Advanced – Leading and GuidingFully accountable for timeliness,

completeness, quality of projects, processes, products and servicesRemains calm and

focused on goals while facing pressures, obstacles or short-term setbacks

Influence – Information Sharing:Advanced – Leading and GuidingEnsures people receive the

information they require, and brings the team together to share information

Change Orientation – Support for Change:Advanced – Leading and GuidingRecognizes

potential and multiple impacts of change and acts as a coach to help people understand and

prepare for changeTakes proactive action to maintain relationships that are impacted by


Problem Solving – Solution Definition:Advanced – Leading and GuidingPersists in searching

out the root causes of major problems rather than being satisfied with partial solutions or

“quick fixes”Brings new thinking, insights or technology to problem resolution

Customer Focus – Issue Ownership:Advanced – Leading and GuidingTakes responsibility for

and deals effectively with complex and sensitive customer issues and complaintsAnticipates

customer needs and proactively makes recommendations

Risk Management – Continuous Process Improvement:Advanced – Leading and

GuidingDesigns, develops and drives the adoption of risk management policies, processes,

and proceduresApplies advanced skills in operational processes and uses it to improve work

efficiency and quality

Risk Business Acumen – Financial Command:Advanced – Leading and GuidingConsiders

multiple business and financial factors when weighing the merits of alternative risk

strategiesHas extensive experience in interpreting and analyzing a variety of financial data to

diagnose significant or unusual operational risks

Working Conditions:

Frequently: Minimal physical effort such as sitting, standing, and walking.

Occasional moving and lifting of equipment and furniture is required to support onsite and

offsite meeting setup and teardown.

Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.

Employer’s Rights:

This job description does not list all the duties of the job. You may be asked by your

supervisors or managers to perform other duties. You will be evaluated in part based upon

your performance of the tasks listed in this job description.

The employer has the right to revise this job description at any time. This job description is

not a contract for employment, and either you or the employer may terminate employment at

any time, for any reason.