JOB SUMMARY

To assist the Internal Audit Manager and Compliance Officer with administering the daily activities of UniBank Financial Corporation’s Internal Audit and Compliance Plans. Under supervision, the Senior Internal Auditor and Senior Compliance Specialist will act as a project leader and work on various types of audits and compliance monitoring within each department of the Bank. This will include planning, developing, executing and reporting the audit/compliance monitoring. Audits/compliance monitoring include evaluating the internal control environment of the Bank, and assessing compliance with applicable regulations, rules, policies, and procedures.

Principal Responsibilities:

• Through comprehensive internal audits/compliance monitoring, the Senior Internal Auditor and Senior Compliance Specialist acts as a project leader to meet the Audit or Compliance Plan objectives in an accurate and timely manner. This includes reviewing, evaluating and verifying the soundness, adequacy, and application of controls and procedures.

o Acts as project leader for operational audits/compliance monitoring which evaluate and encourage compliance with prescribed company policies and procedures in order to promote operations efficiency.
o Acts as project leader for financial audits to check the accuracy and reliability of accounting records, safeguarding of company assets, and reports on the reliability of the company’s financial statements.
o Assists with developing and performing testing of the Bank’s internal control environment related to the initiation, authorization, recording, processing, reporting and disclosure process of financial transactions and financial reporting to verify the Bank’s compliance with FDICIA requirements.
o Acts as project leader for compliance monitoring which evaluate both company and employee compliance with the regulations and rules of the States of Washington, the Federal Reserve Bank and other governing regulatory agencies.
o Assists with scheduling and providing regulatory training to bank staff in accordance with the CMS.
o Assists with developing and performing testing of Special Study audits, which are performed upon request. This is an audit that takes place as a result of a report of unusual or suspicious activity on the part of a department or individual.
o Assists with developing and performing Fraud audits.

o Acts as project leader for the Bank’s Information Security Systems. There are many types of information systems audits that focus on the controls that govern the development, operation, maintenance, and security of application systems in a particular environment. This type of audit might involve reviewing a data center, an operating system, a security software tool, or processes and procedures (such as the procedure for controlling production program changes), etc. Internal Audit may also review the development of a new application system.

• Upon request, assists the Bank’s external auditors in performing various audit procedures such as confirmations, creating reports, direct testing, etc. for their examinations.
• Competently utilizes audit tools, techniques, and procedures in all assigned internal audit programs.
• Reports audit and compliance monitoring evaluations in the form of written audit or compliance reports to the Internal Audit Manager or Compliance Officer and Management.
• Essential Knowledge, Skills and Abilities

Skills / Knowledge / Abilities:

• Knowledge of banking practices is essential, including general banking principles and procedures.
• Enjoy independently researching and learning areas of the bank that may be unfamiliar. The employee will need to gain a thorough understanding to be able to critically assess areas of the bank. This includes investigating, creative problem solving and analyzing detailed information.
• Possess the ability to work independently, manage time effectively, prioritize and follow through in order to complete projects in a timely manner. Strong organizational skills will help the employee be successful.
• Understands and is competent utilizing auditing and monitoring tools, techniques and procedures including: business process analysis; governance, risk and control; risk and control assessment techniques; data collection methods; workpaper setup; tickmarking; indexing; methods of testing; sampling; rating exceptions; etc.
• Establishing and maintaining effective interpersonal relationships across all areas of the bank and from front line employees to Executive Management is imperative. The employee needs to maintain a level of “professional skepticism” and verify what is being reviewed, and should simultaneously be friendly and open to new concepts and techniques. The employee will advise others and recommend courses of corrective action so it is important to gain the respect and favor of others.
• The employee must be able to communicate verbally and in writing, with clarity, information as complex and diverse as banking and lending regulations, audit and monitoring results, and complex deposit and loan information.

Education, Experience and Certifications

• High School diploma or the equivalent
• Four years banking experience preferred
• More than two years of audit, compliance or risk management experience
• CFSA, CCBIA, CCBCO Certification preferred
• Proficient in using a computer and Microsoft Office (Outlook, MS Excel and MS Word)

Physical Requirements

• Prolonged periods of sitting at a desk and working on a computer.
• Must be able to lift up to 15 pounds at times.
• Must be able to access and navigate each department at the organization’s facilities.

Salary:
$79,000-86,000
Job Type: Full-time
Pay: $79,000.00 - $86,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Vision insurance

Work Location: Hybrid remote in Lynnwood, WA 9803

• Through comprehensive internal audits/compliance monitoring, the Senior Internal Auditor and Senior Compliance Specialist acts as a project leader to meet the Audit or Compliance Plan objectives in an accurate and timely manner. This includes reviewing, evaluating and verifying the soundness, adequacy, and application of controls and procedures