Phoenix, AZ, United States
Audit, Manager, Compliance, Accounting
Purpose of Job
We are currently seeking a talented and experienced Audit Manager – Compliance for our San Antonio, TX, Plano, TX, Phoenix, AZ or remote facility.
About USAA Audit Team
USAA is a growing financial services company and the Internal Audit function at USAA is an important part of this growth. It is an exciting time at USAA and in our Audit team! We are a diversified team of audit professionals, working across all USAA operations, seeing the incredible growth first-hand. USAA Audit Services affords you the ability to see USAA’s Mission in action on a daily basis. In this role you are part of USAA’s noble mission.
The Audit Manager develops and independently performs complex work assignments and problem resolution in support of risk-based assurance and advisory engagements and/or audit quality assessments in the field of business operations, finance, and compliance and/or information technology. Maintains a high degree of business contact through fieldwork, often serving as the principal fieldwork contact. Mentors junior staff auditors on audit excellence, to include theory and application of audit and/or business/information technology techniques. Adheres to the Institute of Internal Auditors' Standards and Code of Ethics.
Leads and executes audit engagements from beginning to end (audit lifecycle of medium to high risk audit engagements,) to include understanding horizontal and vertical impacts across the entire audit organization (i.e. ability to cross matrix).
Manages engagement-related efforts and assignments of staff with varying degrees of expertise and experience when conducting engagements as the Auditor-in-Charge (AIC).
Provides coaching and guidance to junior auditors ensuring timeliness and quality of audit engagement deliverables. Updates engagement risk assessments utilizing current data.
Ensures and develops content of audit report and business monitoring. Reviews work papers and delivers audit team engagement performance evaluations. Conducts or assists with leading special reviews, investigations, monitoring activities, and work for external auditors and/or regulators.
Builds and develops relationships both internally within Audit Services and externally with clients and control partners to help drive strategic objectives with the business. Ensures engagements are completed objectively, professionally, and in accordance with corporate and industry audit standards.
Provides guidance on the use of various business systems, applications, and/or audit tools to create queries and ad hoc reports. Reviews, analyzes, and interprets data collected from multiple sources to ensure valid conclusions are drawn.
Communicates with the business/clients; delivers difficult messages. May communicate with regulators and executive leaders.
Identifies control weaknesses and opportunities for improvement in the current operating environment and recommendations for corrective action; drafts the related observations (business issues) and audit reports for issuance to respective client leadership and conducts follow-up activities as defined in the observations.
May be responsible for execution of ITGC and/or application controls.
Bachelor's degree in Accounting, Finance, Information Technology, or other relevant field required or 4 additional years of related experience beyond the minimum required may be substituted in lieu of a degree AND 6 or more years of audit, financial, insurance, banking, information technology or related business experience.
Advanced knowledge of Audit theory and demonstrated experience in audit execution.
Advanced level business acumen in business operations, industry practices, and emerging trends.
CRCM (Certified Regulatory Compliance Manager) or willingness to obtain certification within the first year of employment
4 years experience in large retail bank internal audit departments’, OR equivalent audit experienceEquivalent = minimum 4 years as:
o Federal Regulator for banks (FDIC, OCC, Federal Reserve) with experience supervising large banks with assets > $80B
o Top tier firm (Big 4, Protiviti, Treliant etc.) with experience auditing or consulting with large banks with assets >$80B
Advanced knowledge of internal controls, compliance (including holistic evaluation of compliance management systems (CMS)), business and information technology risks and/or audit techniques in a large retail bank environment
Advanced knowledge of the consumer regulatory environment for financial services
Experience with audit engagement support tools including electronic workpapers
Proficiency in the use of data mining and analytic tools for auditing such as ACL, and SAS
The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.
At USAA our employees enjoy one of the best benefits packages in the business, including a flexible business casual or casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.
Relocation assistance is not available for this position.
Website : http://www.usaa.com
Since 1922, USAA has served the military and their families. We were here yesterday and we'll be here tomorrow.For more than 85 years, USAA has been committed to service, loyalty, honesty and integrity. It's a strong culture that reflects the character of those we serve. In 1922, when 25 Army officers met in San Antonio and decided to insure each other's vehicles, they could not have imagined that their tiny organization would one day serve 6.4 million members and become the only fully integrated financial services company in America. The mission of the association is to facilitate the financial security of its members, associates, and their families through provision of a full range of highly competitive financial products and services; in so doing, USAA seeks to be the provider of choice for the military community.