Senior Internal Auditor

Job Summary

The Sr. Internal Auditor conducts and supervises operational, financial, and compliance audits of various
internal departments to evaluate the adequacy and effectiveness of the organization's governance, risk
management process, system of internal control, and quality of performance in carrying out assigned
responsibilities in order to achieve the organization's stated goals and objectives. The Sr. Auditor helps
guide the work of more junior-level auditors and staff, and manages audit assignments under minimal
supervision of the Audit Manager / Director, fostering positive interactions with business units.

Essential Duties and Responsibilities

• Identify and evaluate the organization's risk areas and provide key input into annual risk assessment activities and the development of the annual audit plan.
• Coordinate the audit process with the external auditors and other outside 3rd parties.
• Develop risk-based audit programs for projects to include risk assessment, scope of work to be performed, staffing and time requirements.
• Lead audit presentations and prepare audit issue memos and draft reports for Audit Manager's/Director's review and distribution to managements.
• Supervise work of staff and provide feedback at the conclusion of audits.
• Responsible for Sarbanes Oxley Section 404 documentation and the evaluation/testing of internal controls.
• Responsible for timely execution of risk-based operational, financial, and compliance audits in accordance with the annual audit plan.
• Collect and analyze data to detect deficient controls, duplicated effort, extravagance, fraud, or noncompliance with laws, regulations, and management policies.
• Inspect records, documents, and systems for efficiency, effectiveness, and use of accepted procedures.
• Examine records and interviews Company personnel to ensure proper recording of transactions and compliance with laws and regulations.
• Examine and evaluate financial and information systems, recommend controls to ensure system reliability and data integrity.
• Examine the systems and processes established by the organization to ensure compliance with policies, procedures, laws, and regulations that could have a significant impact on operations and reports and whether the organization is in compliance.
• Examine the accuracy, reliability, timeliness, and integrity of financial and operating information and the means used to identify, measure, classify, and report such information.
• Document audit test results consistent with professional requirements and report results to senior members of the audit group and/or the Director and recommends changes in or improvements to operations and financial activities.

Qualifications

• Experience in reviewing audit work papers and experience in evaluating the design and operating effectiveness of internal controls.
• Excellent leadership, interpersonal and communication skills with experience in supervising others (e.g., team lead, auditor-in-charge on audit engagements).
• Ability to use effective delegation skills within work teams and establish and monitor project completion deadlines as necessary to meet overall department and quality assurance goals.
• Strong analytical skills & critical thinking with the ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems.
• Ability to identify complex problems and reviewing related information to develop and evaluate options and implement solutions.
• Demonstrated understanding of risk and internal control concepts.
• Knowledge of finance and accounting principles and practices, the financial markets, banking and the analysis and reporting of financial data.
• Ability to prioritize and maintain flexibility while working on multiple projects.
• Effective verbal and written communication skills.
• Minimal travel by car and/or air in conjunction with local, regional and/or national travel is required.

Education and Experience

• Minimum Required: Bachelor's degree in accounting, finance, business administration or related field.
• 4 years' of internal audit, accounting, or regulatory experience and/or 3-5 years' of experience with increasing responsibilities in Stifel Internal Audit
• Minimum Required: Commitment to extend management and technical skills via professional certification and/or licensing (e.g., CPA, CIA, CFE, or CISA; or Series 7, 24, 27, 99, or other relevant license)
• Proficient in Microsoft Office Suite, Microsoft Outlook.

About Stifel

Established in 1890, Stifel is one of the nation's leading full-service wealth management and investment banking firms. Stifel serves clients from more than 400 offices across the United States and ranks as the nation's seventh largest full-service investment firm in terms of number of financial advisors. We are also a leading provider of investment banking services to the middle market, a top-ten municipal bond underwriter, and home to one of the industry's largest research franchises. In addition our Stifel Bank subsidiary provides a comprehensive range of banking services.
At Stifel we offer an entrepreneurial environment, comprehensive benefits package to include health, dental and vision care, 401k, wellness initiatives, life insurance, and paid time off.

Stifel is an Equal Opportunity Employer

IND123