Internal Staff Auditor

  • March 11, 2020

POSITION SUMMARY:  This position has the responsibility for assisting with implementing the fiduciary audit program for the trust companies under the Argent Financial Group umbrella.   Performs basic to moderately complex audit assignments.  Identifies problems for resolution in support of risk-based assurance and advisory engagements across the organization.  Maintains knowledge of changes to fiduciary regulations.  Adheres to the Institute of Internal Auditors’ International Standards for the Professional Practice of Internal Auditing (Standards) and Code of Ethics.

LOCATION:  Ruston, LA preferred

ESSENTIAL DUTIES AND RESPONSIBILITES:

  • Completes audit program assignments and continuous monitoring in an objective, timely and professional manner in support of the annual audit plan and audit priorities. May assist in development of testing programs and reports of audit findings.
  • Manages relationships with auditees and peers. Intentionally engages with them periodically to ensure good lines of communication across all Argent trust entities.
  • Accountable for quality work paper documentation including understanding key risk and controls aligning to audit test objectives and conclusions. Maintains required audit reports and detailed work paper documentation for all audits conducted.
  • Performs investigation work of irregularities discovered by or brought to the auditor’s attention, as directed by audit management.
  • Reviews practices and records for compliance with established internal policies and procedures. Reviews, analyzes and interprets data collected from multiple sources to ensure valid conclusions are drawn.
  • Utilizes business systems, applications and audit tools and may create basic queries and ad hoc reports.
  • Assists with developing recommendations for improving internal controls, operating efficiencies, and the adequacy of trust records and recordkeeping.
  • Attends conferences/training sessions to remain current with emerging fiduciary issues and audit techniques.
  • Performs audit and compliance consulting, as needed, for AFCS external clients.
  • Monitors policy manual changes to ensure there are no observable gaps/weaknesses as compared to regulatory requirements.
  • Monitors activity of the trust management committees, regional administrative committees, investment committees and operations committee to ensure they are adequately supervising the activities under their purview and that appropriate reporting is being made as required by policy and/or regulation.
  • Identifies and supports drafting of issues and audit reports for issuance to audit leadership.
  • Performs other duties as required, consistent with the goals, objectives, and responsibilities of the internal audit department and with the approval of the Master Audit Committee.

ADDITIONAL DUTIES AND RESPONSIBILITIES:

Performs any and all other duties assigned by Senior Vice President/Senior Audit Manager and/or Chief Compliance Officer for which the employee is qualified and physically able to perform with or without reasonable accommodations.

QUALIFICATION REQUIREMENTS:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The following requirements are representative of the knowledge, skills, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

REQUIRED EDUCATION, DESIGNATIONS or EXPERIENCE:

  • Bachelor’s degree in Business Administration, Banking, Finance, Accounting, or related field with Accounting degree preferred; and
  • 1 – 3 years’ experience in trust, banking or accounting; or
  • An equivalent combination of education and experience.

DESIRED SPECIFIC KNOWLEDGE, SKILLS, LICENSES, CERTIFICATIONS, ETC.:

  • CPA, CTA, CFA, CIA or CFIRS
  • In-depth knowledge of governmental regulations and industry practices pertaining to the following fiduciary areas: SOC reporting, Investment Management/Portfolio Management practices, Personal Trust Administration, Employee Benefit Administration, Corporate Trust Administration, Conflicts of Interest and Operations

LANGUAGE AND COMMUNICATION SKILLS:

  • Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, and/or governmental regulations.
  • Excellent interpersonal, verbal, writing, organizational and analytical skills.
  • Ability to effectively present information and exchange ideas in one-on-one and small group situations to other employees, regulators, and committees.

REASONING ABILITY:

  • Ability to define problems, gather and analyze information skillfully, establish facts, and draw valid conclusions in a timely manner.
  • Ability to deal with a variety of abstract and practical problems.

OTHER SKILLS AND ABILITIES:

  • Ability to work well with others and assist others in working through problems rationally and objectively.
  • Must be able to delegate and effectively manage staff.
  • Ability to prioritize and plan work activities and use time efficiently.
  • Demonstrate accuracy and thoroughness with the ability to monitor own work to ensure quality and apply feedback to improve performance
  • Ability to meet productivity standards and complete work in a timely manner.
  • Ability to adapt to changes in the work environment, manage competing demands and deal with frequent change, delays or unexpected events
  • Consistently be present at work, follow instructions, respond to management direction and solicit feedback to improve performance.
  • Proficient with Microsoft Office Suite.

PHYSICAL DEMANDS:

The physical demands described here are representative of those that must be met by an employee to successfully perform the essential duties of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • Sedentary work that involves repetitive motions of the wrists, hands, fingers and sitting most of the time. Walking and standing are infrequently required.
  • Employee exerts up to 10 pounds of force occasionally or a negligible amount of force frequently to loft, carry, push, pull or otherwise move objects.
  • Clarity of vision at less than 20 inches, with or without correction.
  • Ability to clearly express or exchange ideas by means of the spoken word, and to receive detailed information through verbal communication, with or without correction.

WORK ENVIRONMENT:

The work environment characteristics described here are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

  • Inside work for the most part
  • Normal office equipment
  • Employee may be required to travel
  • May drive a vehicle and be exposed to weather and temperature fluctuations.

Submit resumes to humanresources@argentfinancial.com.