Senior Branch Auditor

GENERAL SUMMARY

Under the direct supervision of the Branch Audit Manager, conducts branch audits at various branch offices to evaluate the effectiveness of the branch control environment and the quality of ongoing branch operations. Responsible for all phases of the audit cycle including planning, testing, issue remediation and reporting. A Senior Branch Auditor performs all duties in accordance with the International Standards for the Professional Practices of Internal Auditing.

ESSENTIAL FUNCTIONS

• Assists the Branch Audit Manager in the development of the branch audit plan and preparation of the annual branch risk assessment.
• Evaluates the effectiveness of internal controls using established risk methodology.
• Communicates potential control weaknesses, policy, or procedure violations during the audit engagement to Branch Management and the Branch Audit Manager.
• Prepares workpapers and supporting documentation that clearly identifies the tests performed and conclusions reached solely through the review of the submitted workpapers.
• Prepares and submits Branch Audit reports that clearly and concisely documents the issues identified during the audit to the Branch Audit Manager for review and approval. Conducts exit reviews with Branch Management to communicate audit findings, observations, and recommendations.
• As requested, reviews workpapers and reports of other team members to validate audit findings and supporting documents adhere to department standards.
• Identifies the root cause of the identified operational deficiencies and recommends improvements to the control environment.
• Responsible for issue management which includes validating action plans are effective and substantiable and remediated within required timeframes.
• In depth knowledge of federal and state banking laws and regulations.
• Maintains professional knowledge through continuing education.

QUALIFICATIONS

Education:

• BA/BS in accounting, business, finance, or related field. Certified
  Financial Auditor or Certified Bank Auditor designation preferred.

Experience:

• Minimum five years audit experience, preferably in branch banking or financial industry, or comparable work-related experience.

Skills/Ability:

• Excellent verbal, written and interpersonal skills.
• In depth understanding of risk assessments, risk methodology and audit execution.
• Ability to manage competing priorities and meet established deadlines.
• Thorough knowledge and understanding of bank policies, procedures, and practices.
• Experienced in the audit of consumer and commercial branch operations.
• Ability to work with minimal or no supervision on audit assignments.
• Ability to travel locally utilizing personal vehicle and ability to travel out of state, including occasional overnight assignments.
• Bilingual (English/Mandarin or Cantonese) a plus.

OTHER DETAILS

$70K - $90K / year
Pay determined based on job-related knowledge, skills, experience, and location.
This position may be eligible for a discretionary bonus.

Cathay Bank offers its full-time employees a competitive benefits package which is a significant part of their total compensation. It is our goal to provide employees with a comprehensive benefits package to fit their needs which includes, coverage for medical insurance, dental insurance, vision insurance, life insurance, long-term disability insurance, and flexible spending accounts (FSAs), health saving account (HSA) with company contributions, voluntary coverages, and 401(k).

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Cathay Bank is an Equal Opportunity and Affirmative Action Employer. We believe in diversity, equity, and inclusion in the workplace. We welcome applications for employment from all qualified candidates, regardless of race, color, ethnicity, ancestry, citizenship, gender, national origin, religion, age, sex (including pregnancy and related medical conditions, childbirth and breastfeeding), reproductive health decision-making, sexual orientation, gender identity and expression, genetic information or characteristics, disability or medical condition, military status or status as a protected veteran, or any other status protected by applicable law.

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