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Bank Audit Executive

Company: USAA
Location: Avondale
Posted on: February 3, 2020

Job Description:

Purpose of JobLeads assurance and advisory services across multiple lines of business. Develops, administers, and oversees a risk-based comprehensive audit program which provides the Finance and Audit Committee of the USAA Board of Directors, subsidiary boards, the CEO, and members of USAA management with independent, objective assurance services regarding the effectiveness and efficiency of the governance, risk management, and control processes. Oversees the development and administration of long-term strategy and objectives and ensures alignment with Enterprise Audit Plan strategy and objectives. Leads audit staff and oversees audit findings and recommendations regarding: key governance, risk management and control processes including, legal and regulatory compliance and regulatory readiness, and the reliability and integrity of financial and operational information. Maintains knowledge of financial services regulations and effectively responds and interacts with regulators.Job Requirements

  • Develops the risk-based audit strategy, plan and program for area of responsibility considering USAA's business strategy and complex regulations and regulatory heightened expectations.
  • Provides input and validates annual audit plan for area of responsibility that is prepared based on risk analysis processes. Monitors and reports progress on this plan to executive management and stakeholders and may provide progress updates to boards and governance committees.
  • Monitors, independently and objectively, the governance, risk and control environment for area of responsibility ensuring trends and emerging issues that could impact operations are considered, consolidated, and communicated to Audit and Company or Staff Agency Executive Management
  • Determines, plans and supervises the delivery of the risk-based annual internal audit plan including identifying areas of risk and assigning appropriate risk ratings to ensure that critical business areas are reviewed on a recurring basis for area of responsibility.
  • Participates in the development of audit standards, governance model, operating policies and procedures for inclusion in the Audit Services Manual. - Oversees the implementation of approved changes to maintain an internal audit function and governance model that is consistent and appropriate for the size, complexity and risk profile for area of responsibility.
  • Periodically reviews and updates the audit plan to consider the risk profile and emerging risk and issues. - In addition, evaluates the team assessment(s) of the adequacy and compliance with policies, procedures, and processes established by the front-line units and Independent Risk Management to ensure ongoing compliance with the Risk Governance Framework.
  • Accountable for the delivery of internal audit work on time, within agreed upon budget, and in accordance with audit methodology, regulatory standards and the Institute of Internal Auditors (IIA) International Standards for the Professional Practice of Internal Auditing.
  • Responsible for effectively managing all aspects of the internal audit work that is outsourced which evaluates the adequacy of and compliance with policies, procedures and processes established by the 1st and 2nd line of defense and provides technical and strategic direction to audits and investigations which are sensitive or complex in nature.
  • Oversees risk assessments for area of responsibility, including emerging risks and top risks associated with the current material processes, product lines, services, functions. Ensures quality audit work within required completion timeframes of each audit and may participate in annual risk assessment processes; drives value to the business while reducing the risk profile. Ensures that audit processes are utilized in identifying control weaknesses and developing recommendations for area of responsibility
  • Provides independent assurance to senior management on the effectiveness of the design, implementation and execution of the line of business processes and risk management framework (including risk profile, risk appetite, and compliance practices).
  • May assists in creating reports of audit results and delivering/communicating results to Chief Audit Executive, executive management, Audit Committees, and Risk committees as required.
  • Escalates to Audit leadership and appropriate committee's significant control weaknesses and strengths related to complying with policies, standards and procedures.
  • Reviews validation testing for area of responsibility to ensure that the recommended corrective actions to audit and regulatory identified issues are completed, sustainable and effective, and continues to evaluate the appropriateness of management's corrective actions in response to issues identified.
  • Builds and oversees a team of employees for assigned functional area through ongoing execution of recruiting, development, retention, coaching and support, performance management, and managerial activities. -Required:
    • Bachelor's degree in Accounting, Finance, Information Technology or other relevant field. - 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree.
    • 10 years experience in internal audit, risk management, compliance, or other control partner experience to include 6 years experience assessing business risks and applying appropriate audit plans to manage risks.
    • 6 years of people leadership experience in building, managing and/or developing high-performing teams within the specific industry or specialization is required.
    • Experience collaborating with senior leadership, key resources and stakeholders, influencing audit decisions and managing work to achieve strategic goals required.
    • Executive-level business acumen within the financial services industry or controls environment.Preferred:
      • Deep audit experience in a large financial services institution.
      • Strong retail or consumer banking audit or risk experience, especially in credit card and/or real estate lending.
      • Regulatory relations and exams experience - deep MRA, MRIA, consent order resolution leadership.
      • Demonstrated accomplishments in leading through enterprise-wide change, influencing senior executive level leaders, and providing credible challenge.
      • Practical hands-on leadership style, willing to get "in the weeds" when necessary.

Keywords: USAA, Avondale , Bank Audit Executive, Accounting, Auditing , Avondale, Arizona

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