AVP, Branch Audit Manager - (991)

We are a bank that strives to be the premier financial partner to our customers in our market segment, and to assist our customers in reaching their financial goals and dreams. We have Integrity in everything we do. We have strategic, effective leadership that inspires everyone around us. We hire exceptional employees who are the most important asset to drive our success. We provide extraordinary service to our customers, both internally and externally.
We are celebrating our 55th anniversary in April of this year, as the first Chinese-American bank in Southern California to now a full-service bank covering nine states and having overseas presence in Asia.
We are CATHAY BANK - www.cathaybank.com
Under direct supervision of the Deposit Operations Manager, the AVP, Branch Audit Manager performs and oversees audits conducted of Branch offices of Cathay General Bancorp and its subsidiaries. Manages, guides and allocates responsibilities to junior Branch Auditors. Reviews team member work and reports for accuracy and ensures efficiency of internal controls. Responsible for all phases of the audit cycle including planning, execution, testing, remediation validation and reporting.
Incumbent has 1-2 direct reports.
Develops and updates Branch Operations Audit programs and risk management framework, as assigned, to ensure branch controls are effective and functioning.
Manages Branch Auditors and establishes performance goals, allocates resources and assesses performance of direct subordinates. Manages performance through effective performance evaluations and coaching. Guides staff development.
Oversees Internal Audit Department staff assigned to Branch Operations audits. Ensures audits are performed in accordance with approved programs and that work papers are created and maintained in accordance with industry standards to document Branch audit activity.
Determines and prepares schedule of planned Branch audits for each calendar year.
Performs testing in accordance with approved programs and conducts interviews with appropriate branch personnel to supplement assigned tests.
Prepares and maintains work papers in accordance with industry standards to document steps as indicated in the programs.
Oversees or prepares exit grids and draft reports summarizing branch issues and recommendations. Presents draft reports to the Deposit Operations Manager for review and leads audit exit reviews with Branch Managers or Supervisory employees.
Responsible for assessing sufficiency of branch management action plans to address identified issues and recommendations.
Responsible for issue follow-up, tracking and reporting, to ensure owners have implemented management action plans and adequately addressed concerns and recommendations within required time-frames.
Responsible for creating and maintained management reports for Department Scorecard and creating and maintained any Board Audit Committee reports or documentation.
Serves as Subject Matter Expert for any questions or recommendation vetting for Branch Operations Audit Scope or review parameters.
Reviews semi-annual summary prepared by staff for accurate identification of issues, trends and potential audit program recommendations. Presents information to Executive Management and responsible Branch Managers or Supervisory employees.
Minimum qualifications/requirements:
Education: BA/BS in accounting, business, finance or related field
Experience: Minimum five to seven years audit experience, which includes 2+ years' experience managing junior auditors, preferably in branch banking or financial industry. Experience with risk-based audits.
Skills/Ability: Strong analytical, quantitative, research and process improvement skills. Excellent verbal, written and interpersonal communication skills. Ability to plan, manage priorities and efficiently meet deadlines. Solid understanding of Branch Banking industry regulations. PC, Microsoft, Excel and PowerPoint proficiency. Ability to travel locally utilizing personal vehicle and ability to travel out of state, including occasional overnight assignments. Bilingual (English/Mandarin or Cantonese) a plus
It is the individual responsibility of every employee to maintain a current awareness and understanding of appropriate banking laws, regulations, internal policies and procedures, and to comply fully with those laws, regulations, policies and procedures. From time to time, employees may be assigned tasks or duties as deemed appropriate by their supervisors. The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed, as an exhaustive list of all responsibility, duties and skills required of personnel so classified.

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