Sr. Audit Supervisor

Audit Dallas, Texas


Description

Serve as the third line of defense, providing the Board Audit & Board Risk Committees and senior management with independent assurance on the quality and effectiveness of internal controls, risk management (current or emerging), governance processes and systems, and lending units (overall asset quality, risk and compliance processes, underwriting policies, procedures, limits, concentrations), thereby helping to protect the company’s value, solvency and reputation. To such ends, Internal Audit evaluates: the effectiveness and efficiency of these processes and systems; compliance with applicable laws and regulations, and with the requirements from supervisors; the reliability and integrity of financial and operational information; and, asset integrity. Credit Risk Review assesses the quality, quantity, direction and overall credit risk in the organization.

Job Function: Business Audit

Provide assurance on the quality and effectiveness of internal control, risk management (current or emerging) and governance processes and systems in the Other (non-IT) Risks space.

Summary of Responsibilities:

The primary function of the Credit Risk Sr. Supervisor Auditor is to oversee and provide coaching and assistance to audit staff as part of Internal Audit activities, given the position’s solid understanding of the business. The Credit Risk Sr. Supervisor Auditor might execute part of the testing that requires a deeper understanding of the area under review. In addition, the Credit Risk Sr. Supervisor Auditor must ensure fieldwork is performed in a timely manner, ensuring all audit quality and client relation standards are met, and courteous and professional behavior is observed in all situations. He must develop a solid understanding of the business and relevant experience in credit risk with preference for previous regulatory experience is required. CIA or/ and field-related certification (CPA, CRCM, CRMA, CBA, etc.) are preferred and is Auto lending experience a plus.

Essential Functions:

  • Develops a solid understanding of the business.
  • Examines business records and collects information, exercises independent judgment in identifying issues and assessing risk as well as formulates findings and presents the results to the Audit Manager.
  • Executes control design and operating effectiveness testing over areas that require a deeper understanding of the business or function under review as part of internal audit reviews and activities.
  • Conducts post-audit follow-up to appraise adequacy of corrective action taken to address audit recommendations.
  • Documents audit testing and follow-up tasks in accordance to relevant audit standards.
  • Demonstrates proactivity in professional development activities.
  • Attends professional training actions provided by the company.
  • Provides consistent quality service to both internal and external stakeholders that meets the company’s standards.
  • Participates with the Audit Manager in the planning of audit reviews and activities and designs test steps and audit procedures as part of internal audit reviews and activities.
  • Supervises and coaches audit staff as part of internal audit reviews and activities. As such, oversees field work and reviews and challenges the testing and work papers prepared by audit staff as part of internal audit reviews and activities, including post-audit follow-up.
  • Prepares a draft of the recommendations to be presented to the Audit Manager.
  • Assists the Audit Manager in assigning staff to complete specific audit tests and procedures.
  • Ensures fieldwork is completed within the budgeted timeframe.
  • Starts participating in the drafting of sections of the audit report/ conclusion document.
  • Communicates findings to business management and assists the Audit Manager in discussing the draft of recommendations with business management.


Other Functions:

  • Acts as a subject matter expert (SME) while providing leadership, guidance, and mentorship to other project managers.
  • Other duties as assigned.



Requirements:

  • Education -
    • Bachelor's Degree: Accounting, Finance, Business or equivalent field.
  • Experience -
    • At least 5-7 years audit experience; OR
    • 7-9 years of relevant experience.
  • Skills & Abilities -
    • Analytical and problem solving skills as well as the ability to work independently
    • Ability to work independently with limited supervision
    • Technology and computer skills, with the ability to effectively use Microsoft Office (Word, Excel, Outlook, Powerpoint)
    • Detail oriented with organizational skills
    • Verbal and written communication skills
    • Time management skills and the ability to complete multiple projects simultaneously and in a timely manner
    • Solid diplomatic skills with the ability to resolve conflict in a civil manner
    • Great leadership skills, teamwork skills, as well as the ability to work independently
  • Licenses & Certifications -
    • CIA or/ and field-related certification (CPA, CRCM, CRMA, CFE, CAMS, CFSA, CBA, etc.) preferred.



Competencies:

  • Collaboration - Relationship Management:
    • Advanced - Leading and Guiding
      • Improves relationships between key individuals to achieve seamless cross-team work flow and positively impact results
      • Uses informal networks to gain support for ideas and projects


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  • Execution - Accountability:
    • Advanced - Leading and Guiding
      • Fully accountable for timeliness, completeness, quality of projects, processes, products and services
      • Remains calm and focused on goals while facing pressures, obstacles or short-term setbacks


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  • Influence - Information Sharing:
    • Advanced - Leading and Guiding
      • Ensures people receive the information they require, and brings the team together to share information


      •  
  • Change Orientation - Support for Change:
    • Advanced - Leading and Guiding
      • Recognizes potential and multiple impacts of change and acts as a coach to help people understand and prepare for change
      • Takes proactive action to maintain relationships that are impacted by change


      •  
  • Problem Solving - Solution Definition:
    • Advanced - Leading and Guiding
      • Persists in searching out the root causes of major problems rather than being satisfied with partial solutions or “quick fixes”
      • Brings new thinking, insights or technology to problem resolution


      •  
  • Customer Focus - Issue Ownership:
    • Advanced - Leading and Guiding
      • Takes responsibility for and deals effectively with complex and sensitive customer issues and complaints
      • Anticipates customer needs and proactively makes recommendations


      •  
  • Risk Management - Continuous Process Improvement:
    • Advanced - Leading and Guiding
      • Designs, develops and drives the adoption of risk management policies, processes, and procedures
      • Applies advanced skills in operational processes and uses it to improve work efficiency and quality


      •  
  • Risk Business Acumen - Financial Command:
    • Advanced - Leading and Guiding
      • Considers multiple business and financial factors when weighing the merits of alternative risk strategies
      • Has extensive experience in interpreting and analyzing a variety of financial data to diagnose significant or unusual operational risks


      •  



Working Conditions:

  • Frequently: Minimal physical effort such as sitting, standing, and walking.
  • Occasional moving and lifting of equipment and furniture is required to support onsite and offsite meeting setup and teardown.
  • Physically capable of lifting up to fifty pounds, able to bend, kneel, climb ladders.



Employer’s Rights:

  • This job description does not list all the duties of the job.  You may be asked by your supervisors or managers to perform other duties.  You will be evaluated in part based upon your performance of the tasks listed in this job description.
  • The employer has the right to revise this job description at any time.  This job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

Employees desiring consideration should complete an online application, utilizing the appropriate process as subscribed by the posting entity. Employees should provide all pertinent information to support their candidacy.

To be considered eligible for internal posting, Santander employees must meet all of the following eligibility requirements:

  • Completion of at least one year of active service in Santander
  • Completion of at least twelve months in current position
  • Be in “Good Standing”   

Please click here to see the full policy - http://thesource.sov.gs.corp/assets/Internal-Recruitment-Guidelines.pdf  

At Santander, we value and respect differences in our workforce and strive to increase the diversity of our teams. We encourage everyone to apply.