Internal Control Auditor

Job Summary Overview

The position is responsible for serving on behalf of the Supervisory Committee to assist in fulfilling their requirements under NCUA Rules and Regulations. Fulfillment includes validating the credit union operates in a safe and sound internal control environment and ensuring the Internal Audit Plan is executed timely and efficiently. The position is a growing role learning and familiarizing the audit process, regulations, policies, and internal controls. 

Essential Job Functions

• Represents the Compliance and Review Services Department and the credit union with a professional, on-purpose demeanor.
• Must be self-directed, be forward thinking, engage in positive interactions with co-workers, and have/maintain in-depth knowledge about credit union operations and policies.  
• Demonstrates an attitude and aptitude for auditing, the ability to set and achieve goals, a commitment to time management, and represent the department with a professional, on purpose demeanor. 
• Demonstrates organizational skills and the ability to prioritize tasks. Ensures an understanding of work involved in and utilize it in planning for business plan deadlines.
• Plans, prepares, and conducts internal control audits as identified in the Internal Audit Plan and when internal control gaps are suspected or detected. 
• Develops strong internal controls targeted at mitigating operational risk. Identify and define problems, collect data, establish facts, draw valid conclusions, and take appropriate action.
• Manages assigned audit plan and activities in a reportable manner to be able to share your progress monthly.
• Ensures audit activities identify operational risk, detect regulatory gaps, and seek out process improvement opportunities.
• Consults with other departments for process changes, marketing items, rate reviews, and other various processes to ensure changes are following related polices and regulations prior to initiation.
• Develops and maintains a control environment that mitigates risks and protects credit union assets. 
• Performs other job-related duties as assigned.

Position Required Qualifications

Minimum Education and Experience

High School diploma or GED and three (3) years’ experience in a financial institution.  

Knowledge, Skills, and Abilities

Experience in Microsoft applications, including Excel, Word and Power Point. Strong analytical skills with the ability to leverage data analytics using a range of tools, resources, technologies, and processes to find trends and create accurate and quality results by using the data. Ability to research and interpret the rules and regulations guiding federally insured credit unions to include the Federal Credit Union Act, Code of Federal Regulations, National Credit Union Administration (NCUA) Consumer Financial Protection Bureau (CFPB) Rules and Regulations, and the Bylaws of Arizona Financial. Ability to conduct research, sort data, process findings and come to a sound conclusion. Ability to write professional correspondence and business reports using proper grammar and sentence structure, and the ability to write comprehensive audit reports that communicate an audit purpose, scope, results, and recommendations to resolve audit exceptions. Ability to develop audit checklists, conduct interviews, collect data, establish facts, and draw factual conclusions to identify internal control gaps, organizational risk, and process improvement opportunities. Engage in ongoing learning about auditing techniques, federal and state credit union rules and regulations, the changing regulatory landscape, and branch and department operational changes. Read, write, and speak using proper grammar in English. Type 45 words per minute.

Licenses, Training, and Certifications Required

None.

Preferred Qualifications

One (1) year of work experience in an audit function or in retail operations at a financial institution.  

Hybrid Work Environment and Physical Demands

• Regularly required to stand, walk, stoop, kneel or crouch. 
• Frequently required to sit. 
• Regularly required to use hands to finger keys accurately when using calculator machines or computer keyboards; reach with hands and arms. 
• Occasionally lift and/or move up to 25 pounds. 
• Specific vision abilities required by this job include close vision, ability to adjust focus. 
• The noise level in the work environment is usually moderate. 
• Must be able to travel independently to department and branch locations. 

NOTE: The job description is intended to be generic in nature. It is not an exhaustive list of all duties and responsibilities. Requirements listed in the above qualifications and physical requirements are representative of the knowledge, skill, abilities, physical demands, or work environment required or encountered that must be met by an employee to successfully perform each duty and each function of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions.

Employees who work from home must have business operational internet to complete work tasks and communicate via video call or chat messaging systems in a dedicated workspace.