Summary of the Position:
The Internal Audit and Regulatory Liaison Analyst will be responsible for performing assigned projects that support the Bank’s audit program and regulatory examination program. This individual will provide support to the Chief Audit Officer/Regulatory Liaison Officer and will ensure the coordination and completion of all activities related to these programs.
Primary Functions of the Position:
- Works with the Chief Audit Officer to ensure the proper execution of a risk-based audit plan.
- Ensures that all audit project activities are compliant with the risk-based audit plan
- Maintains documentation to support the internal audit risk assessment and periodic changes to the assessment
- Ensures that all audit schedule of activities and updates are maintained in accordance with Bank policy.
- Coordinates and attend all audit meetings with internal stakeholders to ensure the prompt completion of all audit activities
- Works with Chief Audit Officer to analyze and ensure that all audit issues are resolved in a timely basis.
- Maintains supporting documentation for all issues uncovered because of an audit
- Assists in the post-review of all internal audit workpapers to ensure compliance with regulatory and industry audit standards. Maintains documentation of these reviews
- Works with the Chief Audit Officer to build the Bank’s GRC Tool and Audit repository
- Develops and maintain departmental procedures that define operating processes for the Audit Department
- Assist the Regulatory Liaison Officer in maintaining documentation of all regulatory examination information including initial and ongoing file requests
- Develops and/or assists in the development of regulatory exam updates to the Regulatory Liaison Officer and senior management
- Attends all regulatory examination meetings when available to ensure that all information discussed including requested items are properly documented and communicated to the proper Bank personnel
Education and Experience Requirements:
- Bachelor’s Degree in Accounting or related business discipline required
- 3-5 years of prior public accounting or internal audit experience required
- Prior experience in banking or financial services strongly preferred
Essential Skills and Abilities:
- Knowledge of internal control concepts, internal auditing standards, COSO and risk assessment practices required.
- Expert attention to detail and time management skills
- Excellent written and verbal communication skills at all levels of the organization
- Understanding of banking products, services, systems, policies and procedures
- Ability to work independently with limited required direction and guidance
- Ability to work in a confidential manner due to access to information of a sensitive nature
TriState Capital Bank provides equal employment opportunity and advance in employment to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law.
TriState Capital Bank is an Equal Opportunity Employer.