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000115 - Audit - Internal Auditor II

Westlake, OH 44145, USA Req #273
Wednesday, August 7, 2019
Equity makes a difference in our client’s lives by helping them reach financial freedom through the inclusion of Alternative Investments and educating clients on the options available. We have a world class online investing portal called myEquity that helps clients manage their accounts and Equity University is the ultimate resource for wealth building and self-directed IRA investing education. You will have the rewarding opportunity to help our clients navigate the world of non-traditional investing.Equity also has a strong value based culture where associates are asked to be innovative, do the right thing for our clients and all within a fun and supportive environment. Our leaders come from a wide variety of well known organizations in the Banking, Investment and Operations industries and are all committed to the growth and development of our associates.

The Internal Auditor II conducts audits to verify accuracy of records, policies, procedures, and transactions relating to Company Operation and makes recommendations for modifications and improvements to the systems, procedures, and processes.

 

ESSENTIAL FUNCTIONS:

• Performs operational and financial audits of the various functions in the Company to evaluate and assess adequacy of internal control and ensures efficient and effective operating procedures

• Examines departmental records to ensure proper recording of transactions for quality assurance

• Analyzes reports, contracts, and financial records for accuracy, clarity, and completeness

• Collects a set of comprehensive documentation in support of each audit conducted

• Conducts a comprehensive audit for selected areas and tests samples to evaluate and record results

• Develops and implements a comprehensive audit program to review Company monitoring procedures and evaluate key controls within these areas over meaningful risk to Company objectives

• Prepares and issues audit findings and recommendations

• Reviews audit findings and recommendations with appropriate management to ensure that the auditor and those affected by the audit agree with and understand the results before finalizing the report

• Prepares reports assessing the adequacy and effectiveness of the organization’s processes for controlling its activities and managing the risks in areas set forth under the mission and scope of work

• Follows-up on audit findings and verifies that the agreed upon responses and action plans have been addressed and resolved

• Provides assistance and consultation to Company Control Committee regarding the development of internal controls surrounding Operational Department processes and procedures

 

OTHER FUNCTIONS:

• Implements and develops an audit plan using appropriate risk-based methodology to identify areas of potential internal control exposure and areas for improving the effectiveness of operational processes and procedures

• Prepares quarterly internal audit schedules, notifications, programs, and document check list in support of planned audits

• Delivers audit notifications to auditee and Company President

• Maintains audit documents in an orderly and secure manner

• Identifies staffing needs for department and participates in interview and selection of new team members

• Assists senior management members in other functions as needed

• Performs other duties as assigned

 

 

QUALIFICATIONS: Education and Experience:

• 2 years of relevant experience in Business Administration, Accounting, Finance, or related field

• Bachelor’s Degree in Business preferred

• 6 years of experience in related fields in lieu of preferred education

• Knowledge of trust/financial service industry preferred

 

PROFESSIONAL CERTIFICATION(S):

• Certification in Internal Auditing preferred

 

TECHNICAL SKILLS:

• Expert level proficiency in Microsoft Office

• Knowledge of statistical sampling techniques and applications of auditing and data processing

 

Equity Trust Company is an equal opportunity at will employer and does not discriminate against any employee or applicant for employment because of age, race, religion, color, disability, sex, sexual orientation or national origin.

Other details

  • Pay Type Salary
  • Westlake, OH 44145, USA