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Job Description
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; 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.
- 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 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.
Other Responsibilities:
- Pursues professional development opportunities, including external and internal training and professional association memberships and shares information gained with management.
- 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.
Qualifications:
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.
Skills:
- Advanced knowledge of bank lending products, credit risk management, and lending operations.
- Strong understanding of banking regulations and supervisory guidance related to lending and credit risk.
- Excellent analytical, audit planning, and organizational skills.
- Strong written and verbal communication skills, including executive-level reporting.
- Ability to evaluate complex lending processes and assess control design and effectiveness.
- Strong project management and time-management capabilities.
- High degree of professional judgment, independence, and ethical standards.
Education and Experience:
- Bachelor's degree in business, finance, accounting, or a related field preferred.
- 5+ years of progressive experience in Internal Audit, bank examination, credit risk management, or public accounting with a focus on financial institutions.
- Prior experience auditing lending, credit administration, or loan operations for a financial institution strongly preferred.
- Banking or financial services audit experience required.
Certifications:
- CPA or CIA strongly preferred.
- CFE, CRCM or other relevant professional certifications a plus.
- If CPA, must be a member in good standing with the AICPA and/or applicable state societies.
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.