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000115 - Audit - Manager, Internal Audit

Westlake, OH 44145, USA Req #287
Friday, August 30, 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, Manager oversees the Internal Audit Department and the administration of the audit plan within the organization. The Manager leads and manages the audit staff in conducting audits to verify accuracy of records, policies, procedures, and controls relating to Company operations.


• Manages internal audit department in the implementation, completion, and conclusion of each audit conducted

• Maintains paperwork to support tested samples

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

• 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 members to ensure that the auditor and those affected by the audit 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

• Obtains management sign-off on all findings and action plans as appropriate

• Reports to the audit committee, Chief Financial Officer (CFO), and appropriate department management

• Contributes, as appropriate, to year-end financial audit with external advisors

• Assists in external Company-related examinations and regulatory inquiries


• Implements and develops an annual 5-year 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

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

• Oversees staff, coaching, training, and conduction of audits

• Assists Board of Directors in other functions as needed

• Performs other duties as assigned


 Education and Experience:

• Minimum four (4) years of relevant experiences in Business Administration, Accounting, Finance, or closely related field

• Bachelor’s degree in Business preferred; work experience may be considered in lieu of educational requirement

• Experience in the Trust/Financial service industry preferred


• Certification in Internal Auditing (CIA) preferred

• Certified Professional Accountant (CPA) preferred


• Expert proficiency level in Microsoft Office

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

• Ability to perform comparative analysis of reports and complex internal controls and provide recommendations

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