Manager of Audit II

    • Los Angeles, CA

Job Details:

The Risk Management Audit Manager II position is a leadership role as an auditor-in-charge to guide a team of auditors to assess risks, develop detail audit programs, identify data analytic opportunities, execute audit programs, analyze results of testing performed, and effectively communicate audit results to Sr. Audit Manager and senior management in a form of meetings, presentation, and written reports and memorandums. The position reports to the Sr. Audit Director and works closely with Senior Manager who oversees the entire Second Line of Defense Risk Management function of the Bank. Additionally, the position provides a guidance for continuous monitoring program and execution based on industry/institutional knowledge, emerging risks, and regulatory changes and expectations. Key areas of focus and involvement include:

  • Enterprise Risk Management
  • Credit Risk Management
  • Compliance Management

Thrives in a dynamic team-based environment, effectively manages ambiguity, works independently, innovative thinking with data analytics and artificial intelligence, and demonstrates critical problem-solving leadership.
Audit and Assurance General Requirements
  • Plans, executes and evaluates audit test plans within a risk based audit methodology.
  • Manages staff assigned to the engagement and reviews audit work for sufficient scope, testing, and for accuracy.
  • Assesses risks and controls, designs comprehensive audit programs, executes audit procedures, supervises and reviews the work of others, analyzes and synthesizes results of testing performed, effectively communicates results to senior management to affect change, and delivers well written audit reports and other forms of communication.
  • Collaborates with other audit groups to effectively plan, integrate and execute audits.
  • Utilizes analytical, auditing and automation skill to complete assigned responsibilities. Partners with the Internal Audit Technology and Data Analytics team to gain insights from use of data analytics.
  • Understands general IT risks in order to identify key risks and controls in the business process or activity being audited.
  • Assess information security and privacy policies and procedures to identify weaknesses within the business process or activity being audited.
  • Leads and performs continuous monitoring activities periodically for the area assigned.
  • Ability to manage multiple audit assignments and work in a dynamically changing environment.
  • Complies fully with all Bank policies, procedures, audit methodologies, training and regulatory requirements.

Relationship Building and Client Experience
  • Supports the Senior Manager proactively in their ongoing monitoring and discussions with business management.
  • Continuously builds trusting relationships with Internal Audit peers and business management.
  • Challenges others' thinking or approaches in a constructive manner.
  • Advises stakeholders on internal controls and governance, during audit fieldwork and reporting and conduct proactive and ongoing risk management discussions with business leaders.
  • Ability to influence key stakeholders to gain buy-in, overcome challenges and deliver on high priority initiatives and draw conclusions or make recommendations based on audit evidence that may involve significant risk or ambiguity.

Staff Performance and Mentoring
  • Acts as a role model/mentor to lower level Auditors
  • Enhances and maintains morale of the audit staff
  • Performs on-the-job training of staff auditors, and prepares and conducts formal/informal training for less experienced staff members.
  • May participate with interviews and evaluations of new applicants.
Basic qualifications:
  • Bachelor's degree.
  • Minimum 5 to 7 of relevant experience with some audit exposure.
  • Minumum 3 years' experience conducting internal audits within financial institutions and supervising staff.
  • Certification in at least one or more of the following:
    • Certified Public Accountant (CPA)
    • Certified Internal Auditor (CIA)
    • Certified Regulatory Compliance Manager (CRCM)
    • Certified Information Systems Auditor (CISA)
    • Chartered Financial Analyst (CFA)
    • Certified Anti-Money Laundering Specialist (CAMS)
    • Certified Fraud Examiner (CFE)
Skills and Knowledge:
  • Strong verbal and written communication skills, to effectively present to peers and business management.
  • Ability to exhibit the leadership skills needed to convey ideas and obtain management buy-in for constructive change.
  • Strong understanding of internal auditing standards, COSO and risk assessment practices.
  • Strong understanding of internal control concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions.
  • Strong working knowledge of banking industry laws and regulations.
  • Experience in performing multiple projects and working with varying team members.
  • Ability to apply agile methodology and best practices to audit engagements.
  • Ability to work independently.


This preceding job description has been designed to indicate the general nature and level of work performed by employees within this classification. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities, and qualifications required of employees assigned to this job.

Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled
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