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Senior Audit Portfolio Manager, Director

Company: Union Bank
Location: Monterey Park
Posted on: May 5, 2020

Job Description:

Coordinate with regulatory bodies during relevant examinations and oversee all regulatory deliverables through effective communication, ensuring the timely provision of materials to regulatory agencies and engaging with regulators to enhance the organization's reputation.Effectively manage senior executive relationships (internally and externally) to mutually accountable, productive, respectful, and trusted level. (e.g., ongoing stakeholder feedback and internal surveys).Maintain compliance with audit and compliance policies, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations. (e.g., General Auditor and peer review results and external examination results).Act as a leader and role model to develop and promote a work place culture that values diversity of thought, promotes integrity and creates an atmosphere that supports coaching and fosters accountability; engage as a team player across peer group and in influencing the Executive Leadership Team; manage a team of managers and auditors and develop staff across the department; and continuously improve self and department. (e.g., employee engagement Survey, staff feedback, corporate social responsibility, personal professional development, peer and external results).Sets the standards and procedures for reporting audit finding to Audit Committee and lead the coordination with regulatory bodies during relevant examinations and oversee all regulatory deliverables through effective communication, ensuring the timely provision of materials to regulatory agencies and engaging with regulators to enhance the organization's reputation.Maintains expertise of auditable entity portfolio and enterprise including along business risks, control frameworks, management strategy, banking/regulatory practices, understands basic products, systems and process and develop expert knowledge of business industry and trends. Effectively partner with your team and other internal audit groups to provide subject matter expertise in the joint execution of internal audits.Lead business initiatives pro-actively. Advise and assist the business on change initiatives; and become a trusted advisor to stakeholders and related risk management functions.Through independent assessment of the control environment, structure and lead audits of the risk/compliance teams to ensure a sustainable framework exists by including awareness of risks both within span of control as well as enterprise-wide, identifying potential concerns and control issues, determine the root cause of issues, on-going monitoring; keeping abreast of significant control issues, trends, developments and hot topics for inclusion within the annual audit plan with ensuring stakeholders develop and implement appropriate corrective actionsReviews test plans developed by staff, coordinate the performance of management testing of internal controls required and prepare and update a comprehensive risk-based audit plan for evaluating the effectiveness of controls required.Assigns and reviews the work of audit team members for assigned audit engagements. Assess the state of the governance, risk management, and control environment aspects relevant to that risk.Maintains compliance with audit methodology, while also operating within industry best practices, applicable regulations, and internal and external professional practice expectations.Challenges audit staff in their scoping, risks, observations, and documentation to ensure accuracy.Evaluates and communicates potential weakness in company financial and accounting policies, systems, tools, processes, and controls uncovered during audits.Articulates the relevance of root causes across audit engagements and conducts trend analysis to determine the impact across the organization.Reports results in an effective and timely basis, leading to appropriate remedial action and ongoing management of risk.QualificationsEducation, Licensure, Year of Experience (and type of work experience)A Bachelor's degree, preferably in Accounting, Finance, Business Administration or related business discipline at an accredited college or university.Professional auditing certifications, such as the CIA, CPA, or CFSA, are highly desirable.Advanced degree preferred.Skills and ExperienceMinimum of 10 years and/or equivalent of experience of internal audit and/or equivalent of experience with the financial services industry, related markets, and related regulatory agencies.Experience working with the financial industry regulators, including OCC, FRB, and FINRA and responding to regulatory requests.Extensive experience in Retail Banking, including lending, deposits and operations. Specific experience in areas such as mortgage operations, unsecured lending, small business lending, commercial banking, deposit products and services, branch and back office operations, digital banking, wealth and regulatory compliance.In-depth knowledge of Internal or external audit or risk management experience, including significant management and leadership responsibility in a role directly involved with driving change and program enhancement.Deep knowledge of risk assessment, audit methodology, and audit executionDemonstrated proficiency in technology as required for assigned areas (MS Office, audit data analytics, etc.).

Keywords: Union Bank, Monterey Park , Senior Audit Portfolio Manager, Director, Executive , Monterey Park, California

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