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Supervisors are given a wide variety of diversified auditing assignments, and are responsible for performing complex-level professional internal audit work. Supervisors will lead audits and provide supervision and training while overseeing fieldwork. Additional responsibilities include development of internal audit procedures and scopes, assisting with annual risk assessment preparation and audit planning, preparing and presenting during internal audit kick-off and exit meetings with management, reflecting the results of work performed in internal audit reports, and presenting those reports to management and/or board committees. Performance is judged based on the quality of work, application of banking and audit knowledge, and ability to meet time constraints.
Essential Duties and Responsibilities:
- Strong project management skills.
- Ensures all assigned and supervised documents and activities are performed in compliance with applicable laws, regulations, policies and procedures as applicable to this position, including completion of required compliance training.
- Assumes responsibility for supervising projects and special assignments using established policies and procedures.
- Coordinates various phases of projects, reviews working papers for accuracy and completeness, and reviews audit reports for accuracy and suitability of presentation to management and board committees.
- Provides supervision and the on-the-job training to staff assigned to projects.
- Assigns work to staff members based on their knowledge and capabilities.
- Supports training of staff members, offers guidance and direction, gives constructive criticism of working papers.
- Prepares written reports and/or sections to be included in a report.
- Monitors management's response to any internal or external audit findings for assigned projects.
- Communicates project's progress, problems, resolutions, and other business concerns to Managers, Directors, or Chief Audit Executive.
- Reviews with Manager, Director and Chief Audit Executive significant findings that raise questions involving material misstatements, significant deficiencies or corporate governance/risk management related issues.
- Monitors management's response to any internal or external audit findings, ensuring all findings are assigned to appropriate staff for follow up.
- Develops relationships with business units and provides high quality client service. Adding value to the Bank is an integral part of the job requirements.
- Learns through direct supervisor proper delegation and management of workload and demonstrates ability to properly delegate and manage workload.
- Pursues professional development opportunities, including external and internal training and professional association memberships and shares information gained with management.
- Maintains knowledge of and performs duties within the International Professional Practices Framework of the Institute of Internal Auditors
- Assumes individual responsibility to learn all new technology introduced by the Bank as appropriate for Internal Audit.
- Prepares other reports and projects as requested from time to time by Managers or Directors.
- Such other duties as may be assigned.
- Encouraged to join a community and/or professional association with Manager approval prior to joining.
Career Track Guidelines:
- Performs all duties described above.
- Develop technical proficiency and competence.
- Work effectively as part of the Internal Audit team.
- Contribute to positive work environment by assisting other Supervisors, Senior Associates, Associates and Interns.
- Gain thorough understanding of the business units and develop rapport with those units.
- Demonstrate an understanding of appropriate business etiquette, including proper dress and business correspondence.
- Seek to learn through training and individual study.
- Actively participate in department community involvement program.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirement list below is representative of the knowledge, skill, and/or ability required.
- Ability to read and interpret documents such as procedures manuals, general business correspondence and/or journals or government regulations.
- Ability to read, analyze and interpret financial reports and/or legal documents.
- Ability to write simple correspondence, routine reports and business correspondence.
- Ability to effectively present information in one-on-one and small group situations, to customers, clients and other employees in the organization.
- Ability to effectively present information to top management, public groups and/or board of directors or board committees.
Education and Experience:
- Bachelor's or Master's degree in Business Administration or Accounting preferred, and
- 5+ years of applicable work experience in Auditing or Accounting/Finance preferred, demonstrating a progression in complexity and number of projects supervised.
- Financial Institution experience preferred.
- CPA, CIA, CISA, CFE or CRMA certifications preferred.
- If, CPA, must be a member in good standing with the AICPA and respective state societies.
- Understanding of internal auditing standards, COSO and risk assessment practices.
- Understanding of the technical aspects of accounting and financial reporting.
Equal Employment Opportunity Information: Simmons First National Corporation and its subsidiaries are committed to a policy of equal employment with respect to a person's race, color, religion, sex, ancestry, sexual orientation, gender identity, national origin, covered veterans, military status, physical or mental disability or any other legally protected classifications. Simmons First National Corporation and its subsidiaries are committed to Affirmative Action Programs consisting of results-oriented procedures to ensure equal employment opportunities. These programs require positive action in lieu of neutral non-discrimination and merit hiring/performance policies.