Sr. Internal Auditor
Are you ready to take your career to the next level? Regional strives to positively impact the financial lives of our customers.
For over 35 years, our Team Members have been passionate about supporting customers through their financial challenges in life. They take pleasure in finding solutions and lending a helping hand, both to our customers and our communities.  As we continue to grow and become a national brand in consumer financing, we hope you’ll consider us for future career opportunities.
If you are looking to make a meaningful impact in people’s lives by bringing a personal touch to finances, join our team today!
Job Purpose
The Senior Internal Auditor performs various internal audits under the direction of the Internal Audit Manager to evaluate efficiency and compliance with company policies and regulations, as well as provide recommendations and process improvements to Company Management. Additional responsibilities include participating in special investigations, performing testing of internal controls for SOX 404 Compliance on an ongoing basis, and conducting routine branch audits. This position will also support the Internal Audit Manager in execution of the annual risk assessment and achieving completion of the annual Internal Audit plan.
Duties And Responsibilities
SOX 404 Compliance:
• Maintain understanding of Sarbanes-Oxley legislation, PCAOB Standards, and other relevant guidance issued regarding Section 404.
• Assist the Internal Audit Manager with planning, organizing, and executing SOX 404 audits to provide independent, objective assurance designed to add value, and improve the organization's operations.
• Review internal controls, policies and procedures, investigating documents, records, accounts, operations, and transactions.
• Conduct walkthroughs of key processes and controls.
• Assist in identifying key risks and develop process mapping/flowcharts.
• Prepare thorough work papers to document and support the audit objectives, scope, and methodology used in reaching conclusions on the functions being audited that adhere with The Institute of Internal Auditor’s International Standards for the Professional Practice of Internal Auditing.
• Perform due diligence on deficiencies identified and collaborate with internal departments and stakeholders to complete a root cause analysis and assist the Audit Manager with development of remediation plans for audit findings.
• Develop recommendations for changes to processes and systems that will minimize risk, improve performance and productivity, and ensure that the organization complies with all relevant regulations, laws, and standards.
• Other duties as assigned by Audit Managers and/or team.
Corporate Audits:
• Maintain a thorough understanding of the legal, regulatory, fiduciary, audit, and financial reporting requirements relative to the consumer financial industry.
• Assist the Internal Audit Manager in executing the annual Enterprise Risk Assessment and developing the associated audit plans for the year.
• Assist the Internal Audit Manager with planning, organizing, and executing corporate audits to provide independent, objective assurance designed to add value, and improve the organization's operations.
• Conduct walkthroughs of key processes and assist in identifying key risks and develop process mapping/flowcharts.
• Prepare thorough work papers to document and support the audit objectives, scope, and methodology used in reaching conclusions on the functions being audited that adhere with The Institute of Internal Auditor’s International Standards for the Professional Practice of Internal Auditing.
• Draft formal written reports, as requested, expressing opinions on the adequacy of various business processes and/or systems and the efficiency with which activities are carried out.
• Assist Internal Audit Manager with the planning and execution of the internal Quality Assurance and Improvement Program to maintain compliance with The Institute of Internal Auditor’s International Standards for the Professional Practice of Internal Auditing.
• Other duties as assigned by Internal Audit Managers and/or team.
Branch Audits:
• Conduct routine Branch Audits including reviewing loan documents, cash control documentation, and other pertinent branch records for compliance with Federal and State regulations and Company policies and procedures.
Minimum Qualifications
• Education: Bachelor’s Degree in Accounting, Finance, or similar
• Required Experience: Minimum of 4 years of public accounting and/or internal audit experience.
• Must have experience conducting SOX 404, Operational audits, and have a knowledge of internal audit standards and control concepts.
• Exceptional project management and analytical skills.
• Must pass pre-employment screenings.
Preferred Qualifications
• Previous experience in consumer finance industry preferred.
• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Financial Services Auditor (CFSA)
Critical Competencies
• Proficient knowledge of the Institute of Internal Auditor’s International Standards for the Professional Practice of Internal Auditing.
• High level of integrity.
• Proven leadership abilities.
• Excellent communication skills; verbal, written and presentation skills.
• Accountable for assigned tasks and ability to meet set deadlines.
• Capable of working independently and balancing multiple projects.
• Strong interpersonal skills.
• Ability to work closely with people at all levels of the organization and facilitate the implementation of corrective action.
Working Conditions
• This position does offer remote work capability, dependent upon work performance.
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Regional is an equal opportunity employer and does not discriminate on the basis of race, color, religion, creed, national origin, sex (including pregnancy, childbirth, and related medical conditions), sexual orientation, gender identity, transgender status, age, disability, genetic information, veteran status, uniform service, or any other characteristic protected by applicable law (“Protected Characteristics”). Regional’s policy of non-discrimination applies to all phases of the employment process and relationship, including, but not limited to, recruitment and selection; compensation and benefits; professional development and training; promotions and opportunities; transfers; social and recreational programs; layoff; and terminations.
Financial Services
Accounting/Auditing and Finance
Full-time