Internal Audit Manager I
Company: Heartland Financial USA, Inc.
Posted on: March 18, 2020
Heartland Financial USA, Inc. is a growing dynamic organization
with many locations offering uniquely different banking and
financial solutions for businesses and personal clients. As a
performance driven company, we strive to create a culture of
excellence with high standards, and high values while providing
outstanding growth and involvement opportunities for employees.
Join a team that makes "Great Things Happen!"---
An Internal Audit Manager I is responsible for leading the
performance and execution of professional internal auditing work
and audit-related tasks. We are looking for an experienced,
self-motivated, internal auditor to lead audit engagements for a
publicly traded, multi-bank holding company. Although this
individual may work on a variety of audits within our universe, we
are primarily looking for someone with operational auditing,
BSA/AML, and/or consumer compliance experience.
Leading audit engagements includes, but is not limited to planning,
scoping, designing or updating audit programs, delegating to and
monitoring the work of staff and seniors assigned to the audit,
performing or teaching others to perform the more complex testing,
and performing the quality control review of workpapers completed
by the other staff assigned to the audit.
This position does not have any direct supervisory
responsibilities, but is expected to manage a team of staff and/or
senior auditors assigned within each audit engagement
PRIMARY & ESSENTIAL RESPONSIBILITIES:
1. Manages the planning, execution, staffing, budgeting, reviewing,
and reporting of assigned internal audits which may include:
Operational Audits for various business lines (Deposits, Loans,
Wire Transfer, etc.) and Specialized Audits (BSA/AML, Consumer
Compliance, Trust, etc.) as well as special projects relating to
Heartland Financial USA, Inc. and related subsidiaries'
2. Provides input for the preparation of the overall risk
assessment of the various business units and the completion of the
annual audit plan. Prepares secondary risk assessments such as the
annual Banking Center risk assessment.
3. Collaborates with the Internal Audit Director and other senior
level Internal Audit personnel in performing audit work under
limited supervision with a high level of latitude for initiative
and independent judgment. The work is to be performed in
conformance with international standards for the Professional
Practice of Internal Auditing and involves:
a. Planning audits. Including, but not limited to, interviewing
personnel to document process flows, control objectives, risks, and
b. Defining the audit scope, objective and testing procedures;
c. Executing and/or delegating to Audit personnel the performance
of the necessary test steps;
d. Evaluating audit results, weighing the relevancy, accuracy, and
perspective of conclusions against accumulated evidence;
e. Developing recommendations for control improvements and
presenting them to management;
f. Preparing or reviewing exit meeting materials and/or final
reports for presentation to Company Senior Management;
g. Communicating results of audits to Company Senior Management and
the Audit Committee as requested;
h. Tracking management action plans for managing risk associated
with control weaknesses resulting from internal and external audits
and/or regulatory safety and soundness examinations.
4. Assists Internal Audit management personnel in coordinating day
to day staffing. This involves:
a. Assigning work, monitoring progress, and providing guidance and
on-the-job training to staff members (i.e., Senior Staff Auditors,
Staff Auditors, Interns, etc.).
b. Answers audit-related questions as needed.
c. Provides feedback to Internal Audit Senior Manager or Internal
Audit Manager II for staff performance reviews.
5. Reviews work papers created by staff members and make the
necessary suggestions for changes, if needed.
6. Assists in the coordination of efforts with the external audit
firm, outsourced/co-sourced risk consulting firm and/or regulatory
agency upon request.
7. Modifies and enhances audit programs based on regulatory changes
or recommendations and changes requested by the Internal Audit
8. Conducts any other projects, reviews, examinations,
investigations, due diligence, and audits deemed appropriate in
their circumstance requested by Internal Audit management
9. Participates in internal/external meetings, training and/or
seminars as requested. Maintains credentials through continuing
education, as applicable.
10. Completes annual E-Learning Plan and other relevant training as
assigned and keeps up-to-date knowledge as it relates to the job
SECONDARY & NONESSENTIAL RESPONSIBILITIES:
Performs other duties as assigned.
SUPERVISORY RESPONSIBILITIES: This position does not have
Bachelor's Degree in Accounting, Finance, Business and/or
Management Information Systems required.
REQUIRED SKILLS & EXPERIENCE:
1. 5-7 years of previous audit, finance, consulting, risk
management, regulatory, and/or banking experience.
2. Ability to manage small projects independently and larger
projects with minimal guidance.
3. Ability to keep abreast of banking policies and procedures,
current developments in accounting and auditing professions, and
changes in local, state and federal laws, as applicable.
4. Strong knowledge of audit procedures, including a working
knowledge of IIA (Institute of Internal Auditors) Standards,
Sarbanes-Oxley requirements and the COSO Internal Control
5. Proficient knowledge of Microsoft Office products and strong
6. Ability to organize multiple projects with a high attention to
7. Ability to prioritize multiple and/or competing projects.
8. Strong listening, written, and verbal communication skills.
One or more of the following required:
--- Certified Internal Auditor (CIA)
--- Certified Anti-Money Laundering Specialist (CAMS)
--- Certified Regulatory Compliance Manager (CRCM)
--- Certified Fraud Examiner (CFE)
--- Accredited ACH Professional (AAP)
Scheduled Weekly Hours:
Keywords: Heartland Financial USA, Inc., Dubuque , Internal Audit Manager I, Executive , Dubuque, Iowa
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