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Senior Internal Auditor - Compliance

Company: The Rogers Solutions Group LLC
Location: Greensboro
Posted on: December 5, 2019

Job Description:

Senior Internal Auditor - Compliance About the Company My client, a Fortune 250 company with over 10,000 employees, provides advice and solutions that help empower Americans to take charge of their financial lives with confidence. Their core business areas Life Insurance, Annuities, Retirement Plan Services & Group Protection focus on supporting, preserving & enhancing over 17 million customers lifestyles & retirement outcomes. The Role of the Senior Internal Auditor - As the Senior Internal Auditor - Compliance, you will provide an independent, assurance approach to identifying and mitigating controls risks with respect to compliance with applicable laws and regulations. You will also be responsible for providing an independent evaluation of the adequacy and effectiveness of the system of internal controls. You will perform work in accordance with department and professional audit standards. You will prepare audit planning documents, risk and scope assessments, test plans, work papers and audit reports. You will be responsible for evaluating risk management, control, and governance processes. You will also have exposure to Operations, IT, and SOX audit teams. This is an exciting position with an opportunity for growth. Company promotes work life balance and has a competitive base salary and 401K plan. Responsibilities for the role of the Senior Internal Auditor: Internal Audit 1) Provide oversight and ensure completion of assigned audits. Audits should be consistent, timely, high quality and be a value-added work product for management. 2) Plan audit engagements, identify inherent risks and control objectives, and draft the audit deliverables defined in the audit methodology. 3) Perform audit testing and work with Company management during audit. 4) Draft Audit Reports and other written communications, including the review and editing of team members writing. 5) Coordinate and participate in client closing meetings. 6) Conduct detailed audit work paper reviews. 7) Develop and present training materials within and outside the Internal Audit Department. 8) Provide a point of escalation for problems related to the program such as response to issues related to testing and/or issue mitigation. 9) Manage the audit issue follow-up process to close. 10) Stay up to date on legal and regulatory developments that affect the Company. 11) Use automated software tools and keep abreast of current technology in the department and in the client areas. 12) Collaborate effectively, develop and manage effective relationships with key stakeholders, including various levels of management throughout the enterprise and external auditors and clients to foster and promote Internal Audits reputation as a value-added business partner. 13) Partner with legal, finance, compliance, risk management and other control groups establishing strong work relationships, while maintaining independence. Education for the role of the Senior Internal Auditor: 1) Undergraduate degree or 4+ years comparable work experience; educational concentration in Accounting or Finance preferred 2) Licensing and/or certification: CPA, CIA or Series 7 designation desired Experience for role of the Senior Internal Auditor: 1) 5 years+ of experience in Legal/Compliance or Internal Audit that directly aligns with the specific responsibilities for this position. 2) Sound knowledge of internal audit methodology, including the COSO Internal Control framework and IIA Standards. 3) Strong knowledge of financial services, specifically life insurance and broker-dealer businesses and the drivers of financial and operational strength of these businesses. 4) Significant work experience and/or proficiency in: organizational, time management, and analytical skills. 5) General research and analysis skills and experience.

Keywords: The Rogers Solutions Group LLC, Greensboro , Senior Internal Auditor - Compliance, Accounting, Auditing , Greensboro, North Carolina

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