Senior Compliance Analyst

Overview

Internal Audit Specialist – Senior Compliance Analyst provides independent, reasonable objective assurance and recommendations to add value and improve operational controls. The Internal Audit Specialist – Senior Compliance Analyst is expected to constructively work with the Operations, Client Service and other departments to improve internal controls across the organization, while managing the internal audits being conducted by Site Security
Facilitators/Customer Security Team – Internal Audit Analysts.

The Internal Audit Specialist – Senior Compliance Analyst will be responsible for performing assigned internal audit projects, as part of the overall internal audit plan approved by the Compliance and Risk Management department. This responsibility will include assistance in: 1) evaluating existing internal control documentation, testing current processes and procedures and providing recommendations; 2) developing internal audit scopes; 3) performing internal audit
procedures; and 4) preparing internal audit reports reflecting the results of the work performed and review those together with the Regional Manager/s. Audit projects will include, operational, compliance, physical and IT processes. This position is expected to become very familiar with company policies and procedures and will require to ensure all audits are well documented and reported back to the business.

Responsibilities

• Manage and train internal audit analyst supporting the program
• Work hand in hand with Regional Manger to evaluate the performance of team members
• Capable of interviewing individuals in various operational positions regarding day-to-day duties to review controls
• Perform and document walkthroughs of operational controls
• Perform and document controls for testing
• Test compliance with both Client requirements and Company policies and procedures
• Recommend process and policy improvements
• Follow up to ensure that approved recommendations are implemented
• Complete assigned audit procedures
• Conduct weekly and monthly meetings with relevant stakeholders
• Summarize and communicate audit findings
• Prepare sufficient working paper documentation to support audit procedures performed and conclusions reached for assigned projects
• Perform and help manage both internal and external audits, provides reports, testing, and results
• Must perform work at one of the supporting sites
• Sponsor and support corporate compliance initiatives

Qualifications

• Education – undergraduate degrees, Business, Information systems or related business discipline, preferred
• Minimum 1- 3 years previous experience as an Internal Auditor with Operation, physical and information systems (for External and Internal)
• Previous experience managing others, preferred

Knowledge:

• Basic knowledge of internal control concepts, internal auditing standards, and risk assessment practices required.
• Excellent written and verbal communication skills at all levels of the organization
• Proficiency with Microsoft Office applications
• Ability to work independently with limited required direction and guidance
• Ability to work on simultaneous projects and teams
• Ability to respond to internal requests for support and assistance in a prompt and professional manner
• Team-oriented individual
• Ability to work in a confidential manner due to access to information of a sensitive nature
• Strong time management, problem-solving and analytical skills

Abilities:

• Ability to maintain a high level of confidentiality
• Ability to exhibit efficiency in terms of the quality and speed of administrative tasks
• Ability to respond positively to changing environment
• Ability to exhibit professionalism/credibility in his/her facilitation skills
• Demonstrated ability to work well with other departments
• Demonstrated ability to communicate effectively and professionally with internal and external associates
• Must be willing to travel from one site to another, (when necessary)