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Director of Internal Audit

Company: Enterprise Bank & Trust
Location: Olathe
Posted on: October 8, 2021

Job Description:

Enterprise Bank & Trust was founded in the spirit of entrepreneurship and community. From the small mom-and-pop coffee shop to the large construction company that employs local people, our goal is to help businesses succeed and our communities thrive. With offices in St. Louis, Kansas City, Phoenix, California and New Mexico, we're strong, growing and committed to supporting the communities we serve. We extend this commitment to the community to our associates, offering annual paid volunteer time off and charitable-matching opportunities. Voted A Best Bank to Work For by American Banker, we offer our associates an array of benefits and the opportunity to chart their own career path with us. Join us in the pursuit of our mission to guide people to a lifetime of financial success, and enjoy a career filled with professional growth opportunities, interesting colleagues and the satisfaction of supporting our communities. Together, there's no stopping you.

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Director of Internal Audit
Job Description

The Director of Internal Audit is responsible for developing, implementing and administering the Company's Internal Audit function. This position reports to the Chairperson of the Enterprise Financial Services Corp (EFSC) Audit Committee and administratively to the Chief Risk Officer & General Counsel. This position develops and implements the organization's internal audit plan, which is meant to document and evaluate internal controls, ensure compliance with regulatory requirements (including Sarbanes-Oxley), and identify and mitigate business risks. This position works collaboratively with organizational leadership as well as the EFSC Audit Committee to identify projects, functions, or areas to be audited, plans and oversees audits of various functional areas to determine the effectiveness of risk management practices and internal controls. This position analyzes audit results, presents findings to management and the EFSC Audit Committee, and develops recommendations designed to reduce risk and increase protection of organizational assets.

Essential Duties and Responsibilities:

  • Responsible for the strategic direction and quality of the internal audit function, including continuous improvement of audit procedures and communication of audit recommendations.
  • Develops and executes a comprehensive annual internal audit program that addresses, among other things, key operational and financial risk.
  • Manages relationships with outsourced/external internal audit firm(s) including:
  • Developing risk assessment and resulting scope and fees of work; obtaining EFSC Audit Committee approval;
  • Monitoring progress against approved annual audit plan;
  • Reviewing findings and managements' responses;
  • Evaluating deficiencies noted in SOX 404 work and working with management to communicate and remediate issues, if necessary;
  • Performing quality control reviews of workpapers and reports; and
  • Assessing external firm's performance and if necessary, making recommendations to the Audit Committee.
  • Prepares and presents to the EFSC Audit Committee an annual entity-wide risk assessment which identifies key business risks and the adequacy of the processes and controls to address such risk.
  • Produces formal written reports for executive management and the EFSC Audit Committee, expressing results of the audit and Internal Audit's recommendations on findings.
  • Oversees and manages the external auditor relationship(s), in conjunction with the Finance department, in completion of the SOX 404 procedures, testing, reviewing controls, communicating deficiencies and advising management on remediation plans.
  • Validates corrective actions to address findings and recommendations from the Bank's compliance testing, internal audits, and regulatory examinations.
  • Assists Management in identification and evaluation of risks, including but not limited to, Operational, Financial Reporting, Regulatory Reporting, Reputational, Compliance and Fraud.
  • Serves as an administrator for the Company's ethics and compliance hotline.
  • Supports Company initiatives by being an advisor to management on risk and control recommendations for new system implementations, growth initiatives, etc. to promote SOX compliance.
  • Maintains knowledge of policies, procedures, and regulations, as well as professional certifications to provide objective, independent assurance, and professional advice to all levels of management.
  • Performs ad hoc projects and other duties as requested.


Qualifications:
  • Advanced knowledge of, and experience related to, Sarbanes-Oxley
  • Advanced knowledge of banking services, rules, and regulations
  • Solid understanding of Compliance Risk Management and best practices
  • Excellent problem solving, analytical ability, oral and written communication skills
  • Ability to plan and implement projects through the use of effective project management techniques
  • Self-managed, motivated, and open to change and continuous improvement
  • Strong leadership characteristics with the ability to effectively communicate and interact with the Board of Directors and senior management
  • Strong initiative and decision-making abilities, with the ability to advance the strategy of the organization and drive continuous progressive change
  • Ability to successfully build strong working relationships and interact with associates and management at all levels of the organization
  • Ability to effectively challenge management responses when necessary and resolve issues in the best interest of the company

Supervisory Responsibilities:
  • Manages the Internal Audit team


Education and/or Experience:
  • 10 + years of relevant regulatory and/or auditing experience in the financial services industry.
  • Minimum 7 years' experience conducting Corporate Audits and SOX 404 audits, with thorough knowledge of internal audit standards and control concepts.
  • Experience in public accounting preferred
  • Bachelor's degree in Accounting, Finance or other related field required, MBA or other Advanced degree preferred
  • Certified Public Accountant (CPA) or comparable certificate required
  • Certified Internal Auditor (CIA) is highly preferred


Computer and Software Skills:
  • Microsoft Office Suite, strong Excel skills
  • Google, including Google Mail
  • Salesforce


Certificates, Licenses and Registrations:
  • CPA or comparable certificate required
  • CIA is highly preferred


Equal Opportunity Statement

Enterprise Bank & Trust is committed to helping individuals with disabilities participate in the workforce and ensuring equal opportunity to apply and compete for jobs. If you need an accommodation in order to apply for a position at Enterprise Bank & Trust please contact Human Resources at hr@enterprisebank.com .

Enterprise Bank & Trust is committed to managing our business and community relationships in ways that positively impact our associates, clients, and the diverse communities where we work and live. We are proud to be an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, national origin, sexual orientation, gender identity or protected veteran status and will not be discriminated against on the basis of disability. All employment offers are contingent upon the applicant successfully completing both drug and background check screenings. If you would like more information about your EEO rights as an applicant under the law, please download the Equal Employment Opportunity is the Law poster HERE .

Keywords: Enterprise Bank & Trust, Olathe , Director of Internal Audit, Other , Olathe, Kansas

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