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Senior Auditor - Risk Management Apply locations McLean, VA Richmond, VA Plano, TX Charlotte, NC New York, NY time type Full time posted on Posted 3 Days Ago job requisition id R222105 Senior Auditor - Risk Management

Capital Ones Audit function is a dedicated group of professionals focused on delivering top-quality assurance services to the organizations Audit Committee. Audit professionals are experienced, well-trained and credentialed, and operate within a collaborative, agile environment to deliver value-added opinions and recommendations. Audit's vision to provide high value, independent, proactive insights, to innovate with technology, and to be a top-notch talent destination, creates a dynamic and challenging atmosphere for both personal growth and professional opportunity.

Capital One is seeking an energetic, self-motivated Senior Auditor interested in becoming part of our Risk Management Audit team. As a member of the Audit team, the candidate will focus on audits of Enterprise and Operational Risk Management frameworks and processes in the Second Line of Defense, as well as the related risk programs executed by theFirst Line Business Risk Offices.

Responsibilities:

• Audit major components of business units.

• Assist in developing engagement planning documentation for assigned areas, including risk-based rationale for scoping decisions.

• Design and execute internal control testing for operations of varying complexity.

• Perform audit tasks of moderate difficulty, demonstrating a degree of audit expertise consistent with experience level.

• Prepare clear, organized and complete documentation to support work performed.

• Establish and maintain good client and team relations during engagements. Effectively communicate information and audit progress to team, clients and auditor-in-charge.

• Perform various aspects of engagement administration as assigned by auditor-in-charge, including hours and budget tracking.

• Self prioritize and effectively plan own work activities managing multiple priorities and tasks across the team to deliver quality results. Proactively take on additional work to support the team when possible.
  

Here's what we're looking for in an ideal teammate:

• You are a critical thinker who seeks to understand the business and its control environment.

• You believe insight and objectivity are core elements to providing assurance on the effectiveness and efficiency of Capital Ones governance, risk management, and internal control processes.

• You possess a relentless focus on quality and timeliness.

• You adapt to change, embrace bold ideas, and are intellectually curious. You like to ask questions, test assumptions, and challenge conventional thinking.

• You develop influential relationships based upon shared risk objectives and trust to deliver outstanding business impact and elevate Audits value proposition.

• Youre a firm believer that a rich understanding of data, innovation, and technology will only make you a better auditor. This will require leveraging the power of data analytics and furthering your technical expertise.

• You're a teacher. You do the right thing and lead by example. You have a passion for coaching and investing in the betterment of your team. You lead through change with candor and optimism.

• You create energy and an environment that fosters trust, collaboration, and belonging, making it easy to attract, hire, and retain top talent.

Basic Qualifications:

• Bachelor's Degree or military experience

• At least 2 years of experience in auditing one or more of the following areas: banking or financial services industry or risk management
  

Preferred Qualifications:

• Masters Degree in Auditing, Masters Degree in Accounting, Masters Degree in Finance, Masters Degree in Economics, Masters Degree in Quantitative Finance, or Master of Business Administration

• Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Chartered Financial Analyst (CFA), Certified Risk Manager (CRM), Financial Risk Manager (FRM), or Credit Risk Certification (CRC)

• 2+ year of experience in banking, in the financial services industry, in a professional services firm serving clients in large banks, or a combination

• 2+ years of experience performing data analysis in support of internal auditing

• Exposure to Enterprise Risk Management or Operational Risk Management

At this time, Capital One will not sponsor a new applicant for employment authorization for this position.

This role is hybrid meaning associates typically spend about half of their time (2-3 days per week) in-person at one of our offices listed on this job posting. Monday and Fridays are enterprise-wide virtual work days. Tuesday, Wednesday, and Thursday are in-person days for associates to spend time together working in our beautifully- designed team areas.

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked.

Charlotte, NC: $86,000 - $8,200 for Senior Staff AuditorMcLean, VA: 94,600 - 107,900 for Senior Staff AuditorNew York, NY: 103,200 - 117,800 for Senior Staff AuditorPlano, TX: 86,000 - 98,200 for Senior Staff AuditorRichmond, VA: 86,000 - 98,200 for Senior Staff AuditorRiverwoods, IL: 86,000 - 98,200 for Senior Staff Auditor

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidates offer letter.

This role is also eligible to earn performance based incentive compensation, which may include cash bonus(es) and/or long term incentives (LTI). Incentives could be discretionary or non discretionary depending on the plan.

Capital One offers a comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being. Learn more at the Capital One Careers website . Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.

This role is expected to accept applications for a minimum of 5 business days.No agencies please. Capital One is an equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One promotes a drug-free workplace. Capital One will consider for employment qualified applicants with a criminal history in a manner consistent with the requirements of applicable laws regarding criminal background inquiries, including, to the extent applicable, Article 23-A of the New York Correction Law; San Francisco, California Police Code Article 49, Sections 4901-4920; New York Citys Fair Chance Act; Philadelphias Fair Criminal Records Screening Act; and other applicable federal, state, and local laws and regulations regarding criminal background inquiries.

If you have visited our website in search of information on employment opportunities or to apply for a position, and you require an accommodation, please contact Capital One Recruiting at 1- or via email at . All information you provide will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

For technical support or questions about Capital One's recruiting process, please send an email to

Capital One does not provide, endorse nor guarantee and is not liable for third-party products, services, educational tools or other information available through this site.

Capital One Financial is made up of several different entities. Please note that any position posted in Canada is for Capital One Canada, any position posted in the United Kingdom is for Capital One Europe and any position posted in the Philippines is for Capital One Philippines Service Corp. (COPSSC).

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Auditor I - Risk Management

Create your success story at Delta Community Credit Union where opportunity meets purpose. Through our commitment to excellence, Delta Community has received numerous industry awards and earned the trust and loyalty of our employees, members and the metro Atlanta community. We value talent, encourage growth and keep community at the heart of everything we do. That's why we're one of Atlanta's Best Places to Work! Whether you're starting your professional journey or navigating the next step in your career, we invite you to join the Delta Community Credit Union team.

The Auditor I will participate in audits that ensure the Annual Audit Plan is performed as approved and within applicable professional standards. The Auditor I assists and/or performs a variety of branch, financial, and operational audits specific to financial institutions. As assigned, they will conduct audits of processes and controls across the entity's key departments and functions. The Auditor I provides assistance with the regulatory examination process as well as external audits by preparing work papers and other necessary documents. They will follow up on recommendations resulting from internal and external audits, regulatory examinations, and other internal or external reviews. Through testing performed, the Auditor I concludes whether internal controls provide adequate safeguards that provide assurance over the effectiveness and efficiency of the key operational processes in place at the organization. In addition, the Auditor I works with business units to recommend best practices and prudent internal control systems. It is expected that the Auditor I will continue professional development through ongoing training and participate in professional organizations in order to be well informed and stay current on industry best practices. They will practice continuous improvement of assigned responsibilities and also suggest enhancements to strengthen the auditing process. They will participate in special projects as assigned.

Practices safety-conscious behaviors in all operational processes and procedures.

Essential Functions:

• With guidance from senior audit team members, the auditor identifies and determines what key internal controls provide adequate safeguards that ensure the credit union operates effectively and efficiently.
• In accordance with the Global Internal Audit Standards, perform testing to opine on the Credit Union's effectiveness in ensuring compliance with applicable laws, regulations and established policies and procedures.
• Participate and help improve Corporate Audit's continuous monitoring activities and reporting.
• Identify and suggest efficiencies in the audit process, including through the implementation of data analytics and more efficient and effective testing.
• Conduct audit testing utilizing Archer GRC solution.
• Work with business units to recommend best practices and prudent internal controls.
• Will continue professional development through ongoing training and participate in professional audit organizations.

Other:

• This description reflects management's assignment of essential functions; it does not prescribe or restrict the tasks that may be assigned.
• This job description is subject to change at any time.

Position may offer work from home opportunities, pending specific performance and departmental needs.

Job Qualifications: Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future.

Required Minimum Qualifications:

• Bachelor's degree in business, accounting, finance or related field.
• 2+ years' of credit union or financial service experience in risk management, internal or external audit, support operations, accounting or compliance.
• Working knowledge of internal control procedures and auditing principles.
• Well-organized, efficient, and able to work independently with multiple projects.
• Experience working with all levels of management and staff.
• Possess strong listening, speaking, and presentation skills in order to effectively communicate audit result and findings.
• Strong technical writing skills to assist in preparing quality audit reports.
• Must be detail-oriented and have the ability to think and apply critical thinking.
• Ability to work with large data sets.
• Successfully complete an Excel assessment.
• Must be able to travel 5-10%.
• Complies with all Credit Union policies and procedures including those related to Bank Secrecy Act regulations.

Internal Candidates Only: Must be performing satisfactorily in current position.

Preferred Qualifications:

• Master's degree in business, accounting, finance, or related field.
• 3-5 years' related experience.
• Holds one or more professional certifications such CIA, CISA and/or CPA.
• Experience working at a regulated financial institution supervised by the NCUA, GDBF, FRB, OCC or CFPB.
• Experience in applying data analytics in an audit or consulting environment.
• Knowledge of Symitar or other financial institution banking platform.
• Experience with Archer or other GRC solutions.

Employee benefits include:

• Medical, Dental and Vision Coverage
• Basic Life and Accidental Death & Dismemberment Insurance, Long Term Disability, Employee Assistance Program and MyAdvocate
• Supplemental Insurance or Voluntary Insurance
• 401(k) Plan with Company Match
• Vacation, Holidays and Personal Time Off
• Paid Maternity and Paternity Leave
• Pre-tax Health and Dependent Care Spending Accounts
• Benefit Choice Program
• Health Reward Dollars
• Discount on Gym Reimbursement and Identity Theft Programs
• Legal Services

AUDITOR II- ENTERPRISE RISK MANAGEMENT WHAT IS THE OPPORTUNITY? The auditor will work within a team and on occasion as an individual contributor on routine audit assignments testing internal controls and ensuring compliance with bank policies, procedures, and regulatory requirements. Assigned to one of the following areas: Financial, operational and process audits to assess the adequacy of the banks internal control environment. Fiduciary and private banking audits in corporate, employee benefit, and personal trust relationships, propriety mutual funds, security sales and trading, and insurance activities. Compliance with various laws, rules, regulation, and other regulatory pronouncements. What you will do

• Completes time sheets and expense reports in a timely manner.
• Complies fully with all Bank Operational and Credit policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
• Completes all required training.
• Develops a general knowledge of the business, regulatory and accounting and control environment in which City National Bank operates.
• Keeps informed of new services, products and events that have a significant technology and business impact.
• Keeps abreast of changes in the business, regulatory, accounting and control environment in which City National operates, particularly in areas where audit responsibilities are assigned.
• Assists the Senior Auditor and or Audit Manager in the development of the audit scope.
• Holds preliminary discussions and interviews with auditees prior to the beginning of the field work.
• Prepares narratives/flowcharts detailing internal controls of area audited.
• Documents the workflow in the area audited, develops audit programs or procedures, and updates audit programs as necessary.
• Performs program procedures and documents work performed, test results and conclusions using work paper preparation guidelines.
• Holds discussions/interview with auditee to gather information, obtains explanations and supporting data/information and documents audit findings and the conclusions drawn.
• Keeps the Senior Auditor and/or Audit Manager abreast of progress, issues and audit matters as they arise.
• Contributes to the drafting of audit observation sheets and audit reports.
• Supports and or participates in audit exit meeting with management.
• Ensures written reports are properly prepared and formatted for distribution.

Must-Have*

• Bachelor's Degree or equivalent
• Minimum 3 years experience in performing internal control audits and risk assessments required.
• Minimum 1 year of public accounting and/or private industry experience with knowledge of accounting, finance and internal control areas required.

Skills and Knowledge

• Understanding of risks, internal controls, work paper documentation and issue identification concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions.
• Ability to work independently or under the guidance and supervision of a Senior Auditor.
• Strong verbal and written communication skills, to effectively present to peers and management.
• Ability to exhibit leadership skills needed to convey ideas and obtain management buy-in for constructive change.
• Understanding of internal auditing standards, COSO and risk assessment practices.
• Understanding of the technical aspects of accounting and financial reporting.
• Experience in performing multiple projects and working with varying team members.
• Prior financial services industry experience is a plus.

Compensation Starting base salary: $71,869 - $14,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*To be considered for this position you must meet at least these basic qualifications
The 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. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL
City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with 92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer 96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than 11 million in charitable contributions to nonprofits that support the communities it serves.

*City National Bank does business in Miami and the state of Florida as CN Bank.

For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION
City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE

If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at ( . These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.
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Overview:

AUDITOR II- ENTERPRISE RISK MANAGEMENT WHAT IS THE OPPORTUNITY? The auditor will work within a team and on occasion as an individual contributor on routine audit assignments testing internal controls and ensuring compliance with bank policies, procedures, and regulatory requirements. Assigned to one of the following areas: Financial, operational and process audits to assess the adequacy of the banks internal control environment. Fiduciary and private banking audits in corporate, employee benefit, and personal trust relationships, propriety mutual funds, security sales and trading, and insurance activities. Compliance with various laws, rules, regulation, and other regulatory pronouncements. What you will do

• Completes time sheets and expense reports in a timely manner.
• Complies fully with all Bank Operational and Credit policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
• Completes all required training.
• Develops a general knowledge of the business, regulatory and accounting and control environment in which City National Bank operates.
• Keeps informed of new services, products and events that have a significant technology and business impact.
• Keeps abreast of changes in the business, regulatory, accounting and control environment in which City National operates, particularly in areas where audit responsibilities are assigned.
• Assists the Senior Auditor and or Audit Manager in the development of the audit scope.
• Holds preliminary discussions and interviews with auditees prior to the beginning of the field work.
• Prepares narratives/flowcharts detailing internal controls of area audited.
• Documents the workflow in the area audited, develops audit programs or procedures, and updates audit programs as necessary.
• Performs program procedures and documents work performed, test results and conclusions using work paper preparation guidelines.
• Holds discussions/interview with auditee to gather information, obtains explanations and supporting data/information and documents audit findings and the conclusions drawn.
• Keeps the Senior Auditor and/or Audit Manager abreast of progress, issues and audit matters as they arise.
• Contributes to the drafting of audit observation sheets and audit reports.
• Supports and or participates in audit exit meeting with management.
• Ensures written reports are properly prepared and formatted for distribution.

Must-Have*

• Bachelor's Degree or equivalent
• Minimum 3 years experience in performing internal control audits and risk assessments required.
• Minimum 1 year of public accounting and/or private industry experience with knowledge of accounting, finance and internal control areas required.

Skills and Knowledge

• Understanding of risks, internal controls, work paper documentation and issue identification concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions.
• Ability to work independently or under the guidance and supervision of a Senior Auditor.
• Strong verbal and written communication skills, to effectively present to peers and management.
• Ability to exhibit leadership skills needed to convey ideas and obtain management buy-in for constructive change.
• Understanding of internal auditing standards, COSO and risk assessment practices.
• Understanding of the technical aspects of accounting and financial reporting.
• Experience in performing multiple projects and working with varying team members.
• Prior financial services industry experience is a plus.

Compensation Starting base salary: $71,869 - $14,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
*To be considered for this position you must meet at least these basic qualifications
The 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. Benefits and Perks At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our Benefits and Perks. ABOUT CITY NATIONAL
City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with 92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer 96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than 11 million in charitable contributions to nonprofits that support the communities it serves.

*City National Bank does business in Miami and the state of Florida as CN Bank.

For more information about City National, visit cnb.com. EQUAL OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION
City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. READ MORE

If you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via email or leave a message at ( . These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.

*AUDITOR II- ENTERPRISE RISK MANAGEMENT*
WHAT IS THE OPPORTUNITY?
The auditor will work within a team and on occasion as an individual contributor on routine audit assignments testing internal controls and ensuring compliance with bank policies, procedures, and regulatory requirements. Assigned to one of the following areas: Financial, operational and process audits to assess the adequacy of the banks internal control environment. Fiduciary and private banking audits in corporate, employee benefit, and personal trust relationships, propriety mutual funds, security sales and trading, and insurance activities. Compliance with various laws, rules, regulation, and other regulatory pronouncements.
What you will do
* Completes time sheets and expense reports in a timely manner.
* Complies fully with all Bank Operational and Credit policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
* Completes all required training.
* Develops a general knowledge of the business, regulatory and accounting and control environment in which City National Bank operates.
* Keeps informed of new services, products and events that have a significant technology and business impact.
* Keeps abreast of changes in the business, regulatory, accounting and control environment in which City National operates, particularly in areas where audit responsibilities are assigned.
* Assists the Senior Auditor and or Audit Manager in the development of the audit scope.
* Holds preliminary discussions and interviews with auditees prior to the beginning of the field work.
* Prepares narratives/flowcharts detailing internal controls of area audited.
* Documents the workflow in the area audited, develops audit programs or procedures, and updates audit programs as necessary.
* Performs program procedures and documents work performed, test results and conclusions using work paper preparation guidelines.
* Holds discussions/interview with auditee to gather information, obtains explanations and supporting data/information and documents audit findings and the conclusions drawn.
* Keeps the Senior Auditor and/or Audit Manager abreast of progress, issues and audit matters as they arise.
* Contributes to the drafting of audit observation sheets and audit reports.
* Supports and or participates in audit exit meeting with management.
* Ensures written reports are properly prepared and formatted for distribution.
*Must-Have**
* Bachelor's Degree or equivalent
* Minimum 3 years experience in performing internal control audits and risk assessments required.
* Minimum 1 year of public accounting and/or private industry experience with knowledge of accounting, finance and internal control areas required.
*Skills and Knowledge*
* Understanding of risks, internal controls, work paper documentation and issue identification concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions.
* Ability to work independently or under the guidance and supervision of a Senior Auditor.
* Strong verbal and written communication skills, to effectively present to peers and management.
* Ability to exhibit leadership skills needed to convey ideas and obtain management buy-in for constructive change.
* Understanding of internal auditing standards, COSO and risk assessment practices.
* Understanding of the technical aspects of accounting and financial reporting.
* Experience in performing multiple projects and working with varying team members.
* Prior financial services industry experience is a plus.
*Compensation*
Starting base salary: $71,869 - $14,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
**To be considered for this position you must meet at least these basic qualifications*
The 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.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our CITY NATIONAL
City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with 92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer 96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than 11 million in charitable contributions to nonprofits that support the communities it serves.
*City National Bank does business in Miami and the state of Florida as CN Bank.
For more information about City National, visit OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION*
City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via mailto: ) or leave a message at ( . These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.

*AUDITOR II- ENTERPRISE RISK MANAGEMENT*
WHAT IS THE OPPORTUNITY?
The auditor will work within a team and on occasion as an individual contributor on routine audit assignments testing internal controls and ensuring compliance with bank policies, procedures, and regulatory requirements. Assigned to one of the following areas: Financial, operational and process audits to assess the adequacy of the banks internal control environment. Fiduciary and private banking audits in corporate, employee benefit, and personal trust relationships, propriety mutual funds, security sales and trading, and insurance activities. Compliance with various laws, rules, regulation, and other regulatory pronouncements.
What you will do
* Completes time sheets and expense reports in a timely manner.
* Complies fully with all Bank Operational and Credit policies and procedures as well as all regulatory requirements (e.g. Bank Secrecy Act, Know Your Client, Community Reinvestment Act, Fair Lending Practices, Code of Conduct, etc.).
* Completes all required training.
* Develops a general knowledge of the business, regulatory and accounting and control environment in which City National Bank operates.
* Keeps informed of new services, products and events that have a significant technology and business impact.
* Keeps abreast of changes in the business, regulatory, accounting and control environment in which City National operates, particularly in areas where audit responsibilities are assigned.
* Assists the Senior Auditor and or Audit Manager in the development of the audit scope.
* Holds preliminary discussions and interviews with auditees prior to the beginning of the field work.
* Prepares narratives/flowcharts detailing internal controls of area audited.
* Documents the workflow in the area audited, develops audit programs or procedures, and updates audit programs as necessary.
* Performs program procedures and documents work performed, test results and conclusions using work paper preparation guidelines.
* Holds discussions/interview with auditee to gather information, obtains explanations and supporting data/information and documents audit findings and the conclusions drawn.
* Keeps the Senior Auditor and/or Audit Manager abreast of progress, issues and audit matters as they arise.
* Contributes to the drafting of audit observation sheets and audit reports.
* Supports and or participates in audit exit meeting with management.
* Ensures written reports are properly prepared and formatted for distribution.
*Must-Have**
* Bachelor's Degree or equivalent
* Minimum 3 years experience in performing internal control audits and risk assessments required.
* Minimum 1 year of public accounting and/or private industry experience with knowledge of accounting, finance and internal control areas required.
*Skills and Knowledge*
* Understanding of risks, internal controls, work paper documentation and issue identification concepts and experience in applying them to plan, perform, and report on the evaluation of various business processes/areas/functions.
* Ability to work independently or under the guidance and supervision of a Senior Auditor.
* Strong verbal and written communication skills, to effectively present to peers and management.
* Ability to exhibit leadership skills needed to convey ideas and obtain management buy-in for constructive change.
* Understanding of internal auditing standards, COSO and risk assessment practices.
* Understanding of the technical aspects of accounting and financial reporting.
* Experience in performing multiple projects and working with varying team members.
* Prior financial services industry experience is a plus.
*Compensation*
Starting base salary: $71,869 - $14,797 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or commissions.
**To be considered for this position you must meet at least these basic qualifications*
The 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.
*Benefits and Perks*
At City National, we strive to be the best at whatever we do, including the benefits and perks we offer our colleagues. Get an inside look at our CITY NATIONAL
City National Bank, a subsidiary of Royal Bank of Canada, is the largest bank headquartered in Los Angeles with 92.03 billion in assets as of April 30, 2024. Founded in 1954, City National provides personalized banking, investment and trust services in select markets including Los Angeles, Orange County, San Diego, the San Francisco Bay Area, New York City, Nashville, Atlanta, Delaware, Las Vegas, Washington D.C. and Miami.* In addition, the company and its investment affiliates manage or administer 96.83 billion in client investment assets. City National is dedicated to strengthening communities, and in 2023 alone, the company made more than 11 million in charitable contributions to nonprofits that support the communities it serves.
*City National Bank does business in Miami and the state of Florida as CN Bank.
For more information about City National, visit OPPORTUNITY EMPLOYER & REASONABLE ACCOMMODATION*
City National Bank is an equal opportunity employer committed to promoting and maintaining a diverse, equitable and inclusive working environment where differences are valued and encouraged. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, veteran status or any other basis protected by the laws or regulations in the locations where we operate or in our Code of Conduct. you are a qualified individual with a disability or a disabled veteran, you have the right to request a reasonable accommodation for any part of the employment process. Please contact us via mailto: ) or leave a message at ( . These contact methods are dedicated to applicants whose disability prevents them from successfully applying online. Only messages left for this purpose will be returned. Responses may take up to two business days.

Company Summary Statement
As one of the largest investor-owned utility companies in the United States, PPL Corporation (NYSE: PPL), is committed to creating long-term, sustainable value for our 3.5 million customers, our shareowners and the communities we serve. Our high-performing regulated utilities - PPL Electric Utilities, Louisville Gas and Electric, Kentucky Utilities and Rhode Island Energy - provide an outstanding experience for our customers, consistently ranking among the best utilities in the nation. PPL's companies are also addressing challenges head-on by investing in new infrastructure and technology that is creating a smarter, more reliable and resilient energy grid. We are committed to doing our part to advance a cleaner energy future and drive innovation that enables us to achieve net-zero carbon emissions by 2050 while maintaining energy reliability and affordability for the customers and communities we serve. PPL is a positive force in the cities and towns where we do business, providing support for programs and organizations that empower the success of future generations by helping to build and maintain strong, diverse communities today.
Overview
**_This position will report in person on a hybrid basis and can be located at one of PPL's corporate offices located in Allentown,_** **_PA or Louisville, KY or Providence, RI_**
With supervision, responsible for assisting with the performance of audit and consulting services for PPL Corporation and its business subsidiaries with a focus on risk management, governance and control while adding value and improving Company operations. Works towards developing substantial knowledge and understanding of auditing and risk management.
#INDPPL #PPL #INDLGE #INDRIE #LG&EKU #RIE
Responsibilities
**_Job responsibilities are based off the entry and intermediate levels. The Senior level Auditor may have additional responsibilities which include working with minimal guidance, mentoring those less experienced, and leading audit assignments._**
+ Assists in the performance of audit assignments in areas including strategic objectives, reliability of financial reporting, compliance with laws and regulations, and efficiency and effectiveness of operations
+ Assists in performing critical business analysis of issues, including identifying root cause(s) and value-added opportunities for improvement to Company Management in a timely manner
+ Assists in reporting and communicating, verbally and in writing, the results of audit assignments to Company management
+ Works collaboratively with Company Management to help ensure action plans are implemented timely and appropriately to address areas identified as needing improvement
+ Prepares quality and timely workpapers supporting the results of audit-related testing and analysis
+ Keeps current on business-related issues and developments to identify key areas of risk
+ Builds and applies knowledge of internal controls and the internal control environment of their audit customers
Qualifications
**_This position may be filled at the Auditor, Staff Auditor or Senior Auditor level. Level offered will be determined by the successful candidate's background, education and experience._**
**Auditor Qualifications:**
+ Bachelor's degree
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Staff Auditor Basic Qualifications:**
+ Bachelor's degree with 2 years of audit or business operations experience.
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Senior Auditor Basic Qualifications:**
+ Bachelor's Degree with 5 years of audit or business operations experience
+ Requires effective, written, verbal, and interpersonal communications skills
+ Critical business analysis skills required
+ Working knowledge of internal controls
+ Demonstrated ability to lead projects and assignments and perform multiple activities concurrently.
+ Technical skills to analyze data using various technologies
+ Professional certification (e.g., CPA, CIA, CISA). Required to obtain certification within 3 years of the job
+ Travel as required
**Preferred Qualifications**
+ Professional certification (e.g., CIA, CPA, CISA).
+ Highly motivated self-starter with project management skills
+ MBA or other advanced degree
+ Knowledge of energy utility operations
**_This position may be filled at the Auditor, Staff Auditor or Senior Auditor level. Level offered will be determined by the successful candidate's background, education and experience._**
**Auditor Qualifications:**
+ Bachelor's degree
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Staff Auditor Basic Qualifications:**
+ Bachelor's degree with 2 years of audit or business operations experience.
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Senior Auditor Basic Qualifications:**
+ Bachelor's Degree with 5 years of audit or business operations experience
+ Requires effective, written, verbal, and interpersonal communications skills
+ Critical business analysis skills required
+ Working knowledge of internal controls
+ Demonstrated ability to lead projects and assignments and perform multiple activities concurrently.
+ Technical skills to analyze data using various technologies
+ Professional certification (e.g., CPA, CIA, CISA). Required to obtain certification within 3 years of the job
+ Travel as required
**Preferred Qualifications**
+ Professional certification (e.g., CIA, CPA, CISA).
+ Highly motivated self-starter with project management skills
+ MBA or other advanced degree
+ Knowledge of energy utility operations
**_Job responsibilities are based off the entry and intermediate levels. The Senior level Auditor may have additional responsibilities which include working with minimal guidance, mentoring those less experienced, and leading audit assignments._**
+ Assists in the performance of audit assignments in areas including strategic objectives, reliability of financial reporting, compliance with laws and regulations, and efficiency and effectiveness of operations
+ Assists in performing critical business analysis of issues, including identifying root cause(s) and value-added opportunities for improvement to Company Management in a timely manner
+ Assists in reporting and communicating, verbally and in writing, the results of audit assignments to Company management
+ Works collaboratively with Company Management to help ensure action plans are implemented timely and appropriately to address areas identified as needing improvement
+ Prepares quality and timely workpapers supporting the results of audit-related testing and analysis
+ Keeps current on business-related issues and developments to identify key areas of risk
+ Builds and applies knowledge of internal controls and the internal control environment of their audit customers
Remote Work
The company reserves the right to determine if this position will be assigned to work on-site, remotely, or a combination of both. Assigned work location may change. In the case of remote work, physical presence in the office/on-site may be required to engage in face-to-face interaction and coordination of work among direct reports and co-workers.
Equal Employment Opportunity
Our company is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, age, religion, sex, national origin, protected veteran status, sexual orientation, gender identify, genetic information, disability status, or any other protected characteristic.

Company Summary Statement
As one of the largest investor-owned utility companies in the United States, PPL Corporation (NYSE: PPL), is committed to creating long-term, sustainable value for our 3.5 million customers, our shareowners and the communities we serve. Our high-performing regulated utilities - PPL Electric Utilities, Louisville Gas and Electric, Kentucky Utilities and Rhode Island Energy - provide an outstanding experience for our customers, consistently ranking among the best utilities in the nation. PPL's companies are also addressing challenges head-on by investing in new infrastructure and technology that is creating a smarter, more reliable and resilient energy grid. We are committed to doing our part to advance a cleaner energy future and drive innovation that enables us to achieve net-zero carbon emissions by 2050 while maintaining energy reliability and affordability for the customers and communities we serve. PPL is a positive force in the cities and towns where we do business, providing support for programs and organizations that empower the success of future generations by helping to build and maintain strong, diverse communities today.
Overview
**_This position will report in person on a hybrid basis and can be located at one of PPL's corporate offices located in Allentown,_** **_PA or Louisville, KY or Providence, RI_**
With supervision, responsible for assisting with the performance of audit and consulting services for PPL Corporation and its business subsidiaries with a focus on risk management, governance and control while adding value and improving Company operations. Works towards developing substantial knowledge and understanding of auditing and risk management.
#INDPPL #PPL #INDLGE #INDRIE #LG&EKU #RIE
Responsibilities
**_Job responsibilities are based off the entry and intermediate levels. The Senior level Auditor may have additional responsibilities which include working with minimal guidance, mentoring those less experienced, and leading audit assignments._**
+ Assists in the performance of audit assignments in areas including strategic objectives, reliability of financial reporting, compliance with laws and regulations, and efficiency and effectiveness of operations
+ Assists in performing critical business analysis of issues, including identifying root cause(s) and value-added opportunities for improvement to Company Management in a timely manner
+ Assists in reporting and communicating, verbally and in writing, the results of audit assignments to Company management
+ Works collaboratively with Company Management to help ensure action plans are implemented timely and appropriately to address areas identified as needing improvement
+ Prepares quality and timely workpapers supporting the results of audit-related testing and analysis
+ Keeps current on business-related issues and developments to identify key areas of risk
+ Builds and applies knowledge of internal controls and the internal control environment of their audit customers
Qualifications
**_This position may be filled at the Auditor, Staff Auditor or Senior Auditor level. Level offered will be determined by the successful candidate's background, education and experience._**
**Auditor Qualifications:**
+ Bachelor's degree
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Staff Auditor Basic Qualifications:**
+ Bachelor's degree with 2 years of audit or business operations experience.
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Senior Auditor Basic Qualifications:**
+ Bachelor's Degree with 5 years of audit or business operations experience
+ Requires effective, written, verbal, and interpersonal communications skills
+ Critical business analysis skills required
+ Working knowledge of internal controls
+ Demonstrated ability to lead projects and assignments and perform multiple activities concurrently.
+ Technical skills to analyze data using various technologies
+ Professional certification (e.g., CPA, CIA, CISA). Required to obtain certification within 3 years of the job
+ Travel as required
**Preferred Qualifications**
+ Professional certification (e.g., CIA, CPA, CISA).
+ Highly motivated self-starter with project management skills
+ MBA or other advanced degree
+ Knowledge of energy utility operations
**_This position may be filled at the Auditor, Staff Auditor or Senior Auditor level. Level offered will be determined by the successful candidate's background, education and experience._**
**Auditor Qualifications:**
+ Bachelor's degree
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Staff Auditor Basic Qualifications:**
+ Bachelor's degree with 2 years of audit or business operations experience.
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Senior Auditor Basic Qualifications:**
+ Bachelor's Degree with 5 years of audit or business operations experience
+ Requires effective, written, verbal, and interpersonal communications skills
+ Critical business analysis skills required
+ Working knowledge of internal controls
+ Demonstrated ability to lead projects and assignments and perform multiple activities concurrently.
+ Technical skills to analyze data using various technologies
+ Professional certification (e.g., CPA, CIA, CISA). Required to obtain certification within 3 years of the job
+ Travel as required
**Preferred Qualifications**
+ Professional certification (e.g., CIA, CPA, CISA).
+ Highly motivated self-starter with project management skills
+ MBA or other advanced degree
+ Knowledge of energy utility operations
**_Job responsibilities are based off the entry and intermediate levels. The Senior level Auditor may have additional responsibilities which include working with minimal guidance, mentoring those less experienced, and leading audit assignments._**
+ Assists in the performance of audit assignments in areas including strategic objectives, reliability of financial reporting, compliance with laws and regulations, and efficiency and effectiveness of operations
+ Assists in performing critical business analysis of issues, including identifying root cause(s) and value-added opportunities for improvement to Company Management in a timely manner
+ Assists in reporting and communicating, verbally and in writing, the results of audit assignments to Company management
+ Works collaboratively with Company Management to help ensure action plans are implemented timely and appropriately to address areas identified as needing improvement
+ Prepares quality and timely workpapers supporting the results of audit-related testing and analysis
+ Keeps current on business-related issues and developments to identify key areas of risk
+ Builds and applies knowledge of internal controls and the internal control environment of their audit customers
Remote Work
The company reserves the right to determine if this position will be assigned to work on-site, remotely, or a combination of both. Assigned work location may change. In the case of remote work, physical presence in the office/on-site may be required to engage in face-to-face interaction and coordination of work among direct reports and co-workers.
Equal Employment Opportunity
Our company is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, age, religion, sex, national origin, protected veteran status, sexual orientation, gender identify, genetic information, disability status, or any other protected characteristic.

Company Summary Statement
As one of the largest investor-owned utility companies in the United States, PPL Corporation (NYSE: PPL), is committed to creating long-term, sustainable value for our 3.5 million customers, our shareowners and the communities we serve. Our high-performing regulated utilities - PPL Electric Utilities, Louisville Gas and Electric, Kentucky Utilities and Rhode Island Energy - provide an outstanding experience for our customers, consistently ranking among the best utilities in the nation. PPL's companies are also addressing challenges head-on by investing in new infrastructure and technology that is creating a smarter, more reliable and resilient energy grid. We are committed to doing our part to advance a cleaner energy future and drive innovation that enables us to achieve net-zero carbon emissions by 2050 while maintaining energy reliability and affordability for the customers and communities we serve. PPL is a positive force in the cities and towns where we do business, providing support for programs and organizations that empower the success of future generations by helping to build and maintain strong, diverse communities today.
Overview
**_This position will report in person on a hybrid basis and can be located at one of PPL's corporate offices located in Allentown,_** **_PA or Louisville, KY or Providence, RI_**
With supervision, responsible for assisting with the performance of audit and consulting services for PPL Corporation and its business subsidiaries with a focus on risk management, governance and control while adding value and improving Company operations. Works towards developing substantial knowledge and understanding of auditing and risk management.
#INDPPL #PPL #INDLGE #INDRIE #LG&EKU #RIE
Responsibilities
**_Job responsibilities are based off the entry and intermediate levels. The Senior level Auditor may have additional responsibilities which include working with minimal guidance, mentoring those less experienced, and leading audit assignments._**
+ Assists in the performance of audit assignments in areas including strategic objectives, reliability of financial reporting, compliance with laws and regulations, and efficiency and effectiveness of operations
+ Assists in performing critical business analysis of issues, including identifying root cause(s) and value-added opportunities for improvement to Company Management in a timely manner
+ Assists in reporting and communicating, verbally and in writing, the results of audit assignments to Company management
+ Works collaboratively with Company Management to help ensure action plans are implemented timely and appropriately to address areas identified as needing improvement
+ Prepares quality and timely workpapers supporting the results of audit-related testing and analysis
+ Keeps current on business-related issues and developments to identify key areas of risk
+ Builds and applies knowledge of internal controls and the internal control environment of their audit customers
Qualifications
**_This position may be filled at the Auditor, Staff Auditor or Senior Auditor level. Level offered will be determined by the successful candidate's background, education and experience._**
**Auditor Qualifications:**
+ Bachelor's degree
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Staff Auditor Basic Qualifications:**
+ Bachelor's degree with 2 years of audit or business operations experience.
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Senior Auditor Basic Qualifications:**
+ Bachelor's Degree with 5 years of audit or business operations experience
+ Requires effective, written, verbal, and interpersonal communications skills
+ Critical business analysis skills required
+ Working knowledge of internal controls
+ Demonstrated ability to lead projects and assignments and perform multiple activities concurrently.
+ Technical skills to analyze data using various technologies
+ Professional certification (e.g., CPA, CIA, CISA). Required to obtain certification within 3 years of the job
+ Travel as required
**Preferred Qualifications**
+ Professional certification (e.g., CIA, CPA, CISA).
+ Highly motivated self-starter with project management skills
+ MBA or other advanced degree
+ Knowledge of energy utility operations
**_This position may be filled at the Auditor, Staff Auditor or Senior Auditor level. Level offered will be determined by the successful candidate's background, education and experience._**
**Auditor Qualifications:**
+ Bachelor's degree
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Staff Auditor Basic Qualifications:**
+ Bachelor's degree with 2 years of audit or business operations experience.
+ Requires effective written, verbal, and interpersonal communication skills.
+ Technical skills to analyze data using various technologies.
+ Travel as required.
**Senior Auditor Basic Qualifications:**
+ Bachelor's Degree with 5 years of audit or business operations experience
+ Requires effective, written, verbal, and interpersonal communications skills
+ Critical business analysis skills required
+ Working knowledge of internal controls
+ Demonstrated ability to lead projects and assignments and perform multiple activities concurrently.
+ Technical skills to analyze data using various technologies
+ Professional certification (e.g., CPA, CIA, CISA). Required to obtain certification within 3 years of the job
+ Travel as required
**Preferred Qualifications**
+ Professional certification (e.g., CIA, CPA, CISA).
+ Highly motivated self-starter with project management skills
+ MBA or other advanced degree
+ Knowledge of energy utility operations
**_Job responsibilities are based off the entry and intermediate levels. The Senior level Auditor may have additional responsibilities which include working with minimal guidance, mentoring those less experienced, and leading audit assignments._**
+ Assists in the performance of audit assignments in areas including strategic objectives, reliability of financial reporting, compliance with laws and regulations, and efficiency and effectiveness of operations
+ Assists in performing critical business analysis of issues, including identifying root cause(s) and value-added opportunities for improvement to Company Management in a timely manner
+ Assists in reporting and communicating, verbally and in writing, the results of audit assignments to Company management
+ Works collaboratively with Company Management to help ensure action plans are implemented timely and appropriately to address areas identified as needing improvement
+ Prepares quality and timely workpapers supporting the results of audit-related testing and analysis
+ Keeps current on business-related issues and developments to identify key areas of risk
+ Builds and applies knowledge of internal controls and the internal control environment of their audit customers
Remote Work
The company reserves the right to determine if this position will be assigned to work on-site, remotely, or a combination of both. Assigned work location may change. In the case of remote work, physical presence in the office/on-site may be required to engage in face-to-face interaction and coordination of work among direct reports and co-workers.
Equal Employment Opportunity
Our company is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, age, religion, sex, national origin, protected veteran status, sexual orientation, gender identify, genetic information, disability status, or any other protected characteristic.