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The Role / Responsibilities: The Senior Auditor is responsible for the execution of an integrated internal audit plan encompassing Sarbanes-Oxley 404 Compliance, financial, operational and supporting functions, in accordance with departmental and Institute of Internal Auditors standards. The Senior Auditor will be primarily responsible for the following activities as it relates to conducting Sarbanes-Oxley 404 compliance, but will also apply to other audit projects;
Assists in the development of the audit program for respective areas based on qualitative and quantitative risk attributes and discussion with senior management
Understands both the operational and technology processes that are in-scope and the risks and controls related to the areas under review
Evaluates the design and effectiveness of key controls, proactively highlighting control gaps
Develops and / or understands risk-based test steps for the area under review
Supervises and/or executes testing with minimum to moderate supervision, proactively developing appropriate initial resolutions to audit obstacles to be discussed with project sponsor
Understands the timelines and budgets and helps monitor team's workload and status
Manages relationships with external auditors, including understanding expectations, providing status updates, and addressing comments for reliance work
Assists in managing stakeholder expectations and communicating test results timely and effectively
Demonstrates ability to outline the facts around potential issues, prepare draft deficiency analysis and discuss internally and with stakeholders. Assists in developing the 'why do we care' for audit issues and collaborates with stakeholders and project team to develop meaningful recommendations for the audit projects.
Expected to keep up to date with changes in regulations, governance and best practices and to review and update testing procedures and templates to ensure any changes in regulations, governance, or best practices are reflected and incorporated into testing.
Continuously expands knowledge of data analytics and use of technology to enhance audit testing. Capable of performing intermediate level data analytics functions within Excel or equivalent applications (e.g. Access, Tableau, ACL), and leverages, contributes, and improves the data analytics library. Assists in developing or implementing tools to analyze data to improve audit efficiency and effectiveness.
Proactively identifies and communicates efficiencies and opportunities for enhancing internal audit delivery. Assists with updating the internal audit standards and templates or other continuous quality improvement deliverables.
Motivates team to achieve project objectives, addresses conflicts, encourages cooperation and responds sensitively to staff problems. Provides constructive and timely feedback and assists in identifying development opportunities for individual team members. Coaches team members to enhance their competence and professional development.
Department: Internal Audit
Pursuing CPA or equivalent professional qualification preferred.
3-6 years of experience in a Big 4 Accounting firm and/or a global organization.
Knowledge of internal controls, internal controls framework and risk standards (e.g. COSO, ISO, NIST etc.), Sarbanes Oxley Act, GAAP and financial systems and related technology.
Awareness of regulations pertaining to financial services industry.
Excercises curiosity and professional skepticism.
Upholds and promotes professional ethics.
Ability to work both independently and as a member of a team in a fast paced environment and handle multiple tasks simultaneously.
An ideal candidate should be innovative, result oriented and should be able to demonstrate strong communication, interpersonal, persuasion, team management, project management and critical thinking skills.
Proficiency in Microsoft Office suite.
Moody's is an essential component of the global capital markets, providing credit ratings, research, tools and analysis that contribute to transparent and integrated financial markets. Moody's Corporation (NYSE: MCO) is the parent company of Moody's Investors Service, which provides credit ratings and research covering debt instruments and securities, and Moody's Analytics, which offers leading-edge software, advisory services and research for credit and economic analysis and financial risk management. The Corporation, which reported revenue of $3.6 billion in 2016, employs approximately 10,700 people worldwide and maintains a presence in 36 countries. Further information is available at www.moodys.com.
Moody's is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, sex, gender, age, religion, national origin, citizen status, marital status, physical or mental disability, military or veteran status, sexual orientation, gender identity, gender expression, genetic information, or any other characteristic protected by law. Moody's also provides reasonable accommodation to qualified individuals with disabilities in accordance with applicable laws. If you need to inquire about a reasonable accommodation, or need assistance with completing the application process, please email email@example.com.. This contact information is for accommodation requests only, and cannot be used to inquire about the status of applications.
For San Francisco positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the San Francisco Fair Chance Ordinance. For New York City positions, qualified applicants with criminal histories will be considered for employment consistent with the requirements of the New York City Fair Chance Act. For all other applicants, qualified applicants with criminal histories will be considered for employment consistent with the requirements of applicable law.
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MIS and MSS Candidates are asked to disclose securities holdings pursuant to Moody's Policy for Securities Trading. Employment is contingent upon compliance with the Policy, including remediation of positions in those holdings as necessary.