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Auditor, Sr.

Alerus Financial

in Arden Hills MN / Grand Forks ND

Our growing organization is seeking talented professionals who are in search of a challenging and rewarding work environment! We are currently hiring a Senior Auditor in our Wealth Management department in our Shorewood, MN location. The Senior Auditor role provides expertise, advice, and counsel based on advanced business and/or audit experience to the functional areas of Alerus Financial. Provides leadership for projects and team activities. Proactively implements audit strategy for the sound application of risk based practices by defining audit scope, audit program, and review and test procedures. Exercises judgment and influences business managers and peers. Helps business partners balance their business strategy with appropriate risk management controls. Contributes to the development, implementation and communication of Audit's missions, goals and strategies. Interacts with regulatory agencies, external consultants and other internal risk management groups.

Job Function Number 1: Plan and conduct audits. 65%

  •  Assist in the development of the annual audit plan, and perform internal audits in conformity with the annual audit plan and the International Professional Practices Framework (IPPF).
  •  Manage and perform internal audits of various wealth management functions at Alerus Financial, with primary focus on the areas related to Retirement Plans, Trust, and Investments.
  •  Prepare or update planning and risk assessment tools for each audit area identified.
  •  Develop or update audit programs as deemed necessary based on new regulations and results of risk assessments.
  •  Conduct internal audits in a timely manner utilizing a risk based approach that contains sufficient documentation to support audit procedures performed.
  •  Supervise, provide guidance, and review work papers.
  •  Monitor progress on audit recommendations issued by internal audit and external organizations (i.e. OCC, SEC, FINRA, independent accountants).
  • Assist with and/or manage audits of other functional areas as necessary. 

Job Function Number 2: Additional responsibilities. 15%

  •  Assist with audits and examinations performed by external organizations.
  •  Strive to identify opportunities for efficiencies while performing audit procedures.
  •  Assist in streamlining processes and functions while maintaining adequate controls.
  • Perform research on new regulations and adjust audit programs as necessary.

Job Function Number 3: Maintain knowledge of products and services. 15%                     

  •  Understand the areas being audited, including, but not limited to, attending meetings and training.
  •  Maintain current knowledge of company procedures, policies and regulations.
  •  Analyze current company policies and procedures for appropriateness.
  •  Carry out a program of continuing education.
  • Obtain and seek out specialized training in the Retirement Plans, Trust, and Investments, including self-study materials, conferences, and telephone seminars.

Job Function Number 4: Communicate audit findings. 5%

  •  Responsible for both verbal and written reporting of audit findings
  •  Communicate policy exceptions, compliance violations, and control weaknesses to department supervisors and managers during audit engagements.
  • Submit audit work, findings, and reports to Audit Manager for review.
  • Present final reports to management of departments audited.
  • Support all audit work for presentation to the Audit Committee, external auditors, and regulatory examiners.

Qualifications:

  •  Bachelor’s degree from a college or university; and 4+ years of related experience in bank or financial institution internal auditing; or the equivalent combination of education and experience. Work related experience should consist of an in-depth background in Audit and supervisory skills. Educational experience, through in-house training sessions, formal school or financial industry related curriculum, should be applicable to the financial industry.
  •  Professional certification (CPA, CBA, CIA or CFSA) or advanced degree is a plus but not required.
  •  Broad knowledge of Retirement Plans, Trust, Investments, and traditional banking functions.
  •  Experience with evaluating and testing internal controls.
  •  Strong oral and written communication skills.
  •  Ability to perform research independently and work under minimal supervision.
  • Excellent organizational and time management skills, with the ability to provide leadership, supervision and training for employee’s using positive supervisory techniques to ensure maximum productivity; demonstrated ability in organization and delegation skills.
  •  Ability to travel within our ND and MN region for audit assignments.   

Personal Characteristics:

  • Strong analytical and critical thinking skills.
  • Effective persuasion and collaboration skills.
  • Ability to identify, support and execute change.
  •  Attentive to details.
  •  Self-motivated.
  •  Ability to work independently and under minimal supervision.
  •  Professional attitude.
  •  Positive disposition.
  •  Strong time management and organizational skills.

Physical Demands: (must be met with or without a reasonable accommodation)

  • Extended periods of time sitting at a desk and using office equipment.
  • Ability to operate a personal computer/laptop for approximately 8 hours per day.
  • Extended time is spent reviewing physical and electronic documents.
  • The employee is occasionally required to stand, walk, reach with arms and hands, climb or balance, and to stoop, kneel, crouch or crawl. Vision abilities required by this job include close vision.
  • Periodically, may also do light lifting of supplies and materials which weighs in at approximately 20 lbs.
  • Will spend most of time in an indoor environment.

Alerus offers a challenging and rewarding work environment as well as competitive compensation and a comprehensive benefits package which includes health, dental, vision, paid time off & holidays, retirement benefits, and more!

Alerus is a customer-driven financial services company unlike any other. We are an independent, multibillion-dollar financial services organization serving customers across the country and around the world. We offer a broad array of banking and wealth management products and services. Our knowledgeable staff assists our customers in identifying and attaining their financial goals.

Alerus Financial is an Equal Opportunity Employer of women, minorities, protected veterans and individuals with disabilities.

How to Apply

For more information regarding the responsibilities and qualifications for this opportunity or to apply, visit our website.


This ad has been viewed 1216 times. It expires on 4/21/2019.

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