Sr. Supervisor, AuditAudit Dallas, Texas
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.
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
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
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.
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
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.
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.