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The Senior IT Auditor is responsible for taking a supervisory role in the completion of Information Technology (IT) audits for audit projects assigned including IT Operations, Infrastructure, Information Security, IT Governance, etc. This position provides objective risk centric assurances with respect to the effectiveness of risk management practices, governance processes and the system of internal controls. Responsibilities include independently identifying and documenting risks, controls, processes and systems in the Audit Planning Analysis (APA) document. They are required to supervise and review the work of auditors to ensure that audit workpapers meet the stated audit objectives, internal controls are adequately working and designed properly. This role requires that the person have the ability to lead multiple projects at one time, be a self-starter as well as self-directed. This individual will exhibit advanced knowledge of audit requirements, strong communication skills, negotiation skills and will incorporate fact and intuition in their decision making. The incumbent is required to foster and maintain proactive client relationships with management relating to the designated business line. Compliance Statement
Operates in full compliance with internal policies and procedures as well as applicable regulations and laws, including but not limited to Bank Secrecy Act/Anti-Money Laundering requirements. Responsible to report any procedure or process that doesn’t meet regulatory requirements including fraud, whether suspected or confirmed, to management. This reporting can be done directly to any member of management, including Human Resources or Corporate Security, or can be reported through Associated’s anonymous Ethics Hotline.Key Result AreasAnalysis
Documentation of processes and procedures
Negotiation and Influence
Other Root Cause Analysis
Regulation and Compliance
Staff management & development
Ability to independently scope, plan, conduct and report on assigned audits.
Perform audit testing including interviews, data extraction and analysis, process design assessment and evaluation of internal control efficiency and effectiveness.
Assist in the facilitation of the completion of audits in a timely manner.
Responsible for staying abreast of laws, emerging risks, rules and regulations impacting assigned audit projects and partnering with Risk Management to ensure the business risks are properly identified and mitigated within the business lines, and ensuring that the changes are incorporated into the independent assessment process performed by Corporate Audit Services.
Determine that audit staff and senior auditor came to appropriate conclusions based on detailed review or testing.
Develop and design tests of internal controls in support of the annual audit plan and company goals and objectives.
Perform other duties as requested by Audit Management.
Adhere to audit standards and Human Resources Policies.Centralized Issue Tracking
Manage / maintain TeamMate Centralized Issue Tracking (CIT) system for assigned issues.
Work with senior management on status updates for outstanding issues related to regulatory and audit findings.
Perform / oversee issue validation work to ensure appropriate testing supports closure of issues.Collaboration/Partnerships
Establish and maintain contact with officers and staff as needed within the assigned business lines regarding audit activities.
Build a strong understanding of the various areas under review and develop a comprehensive understanding of the audit process.
Foster high performance culture and maintain a positive filter on all interactions within the department, consultants and auditees.
Contribute to a high performance culture and maintain a positive attitude on all interactions with department colleagues, consultants and auditees.
Develop and maintain positive working relationships throughout the organization.Other
Assist Audit Management in gathering requested materials for examinations of Corporate Audit Services.Professional Development
Maintains professional / technical knowledge and enhances personal growth by attending educational workshops in audit methodology and banking processes as well as reviewing professional publications; establishing personal networks and participating in professional societies.
Stay abreast of laws, rules and regulations impacting assigned business lines and partnering with Risk Management to ensure the business risks are properly identified and mitigated within the business lines, and ensuring that the changes are incorporated into the independent assessment process performed by Corporate Audit Services.Supervision and Coaching
Supervise assigned staff in accordance with Human Resources Policies, including performance evaluations and training.
Education Bachelor's Degree , Required
4-7 years Progressive audit experience within the financial services and/or Information Technology industries., Required
4-7 years Financial Services and/or Information Technology industry, with an emphasis on audit, Preferred
4-7 years Technical understanding of General IT Controls, IBM i, Windows/VM, Linux, Oracle, SQL, network protocols., Required
Ability to Multi Task and Prioritize , Advanced
Analytical , Advanced
Customer Relations , Advanced
Grammar/Spelling , Advanced
Management Experience , Beginner
Microsoft Office , Intermediate
Organizational , Advanced
Verbal Communication , Advanced
Written Communication , Advanced
Other: Data Analytics Tools, Intermediate
Other: Regulatory knowledge and ability to apply knowledge to specific situations, Intermediate
Other: Attention to Detail, Advanced
Licenses and Certifications
AP-Advanced Professional Certification within 1 year, Required
CPA - Certified Public Accountant by start date, Preferred
Other CISA - Certified Information Systems Auditor within 1 year, Required
General Physical Condition
No unusual physical effort, strain, or discomfort