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This position serves as a team member on more complex audits, working under the direction of audit leadership and management. Typically involved in activities such as the preparation of detailed programs for audits, the review of complex financial, operational, compliance and risk systems, processes and procedures to determine efficiency, effectiveness and alignment with internal policies, procedures, regulations and industry standards. Reviews the work of less experienced auditors, and may plan and lead less complex audit engagements and small project teams. Requires proficient knowledge of financial services products, services and regulations; internal audit leading practices; risk management; and regulatory guidance and expectations (FRBB, OCC, SEC, State Insurance). Requires knowledge of the Institute of Internal Auditor’s (IIA) International Professional Practices Framework (IPPF) to which the Internal Audit Division’s methodology is aligned.
KEY RESPONSIBILITIES AND DUTIES:
Works on problems of diverse scope performing highly confidential and/or complex financial, operational and integrated audits using the organization’s risk based internal auditing methodology. Documents the audit results which include comments on the adequacy and effectiveness of the controls and processes being audited. May act as the lead expert in the group on critical business areas, processes, systems and/or regulations. Reviews and evaluates more complex control structures to determine the adequacy of internal controls, operating efficiency and customer service. Demonstrates good judgment in selecting methods and techniques for performing audits and evaluating results.
Networks with senior personnel within the business unit and across groups to resolve issues, gain needed information and influence outcomes. May participate in discussions with senior management when communicating audit results and recommendations. Participates in defining audit service standards for the organization. Contributes to decisions and projects that have a moderate to high impact to the organization.
Normally works independently receiving little instruction on day-to-day work, receives general guidance and review on new assignments. Researches and resolves difficult transaction issues. Assignments include interaction with senior management, higher levels of risk and greater impact to the business. May lead complex audit engagements and manage teams in special projects or implementation of initiatives. Acts as subject matter expert, requiring specialized knowledge in functional or business unit area. Position will review the work of less experienced auditors, and may provide functional advice or training to less experienced staff. Responsible for achieving group and individual deliverable deadlines. Identifies workflow problems pertaining to team functions; recommends and implements solutions. Responsible for achieving group and individual deliverable deadlines. This is the most senior skill level without assigned management responsibility.
Minimum 5 years of auditing experience.
Bachelor’s degree in Accounting, Finance or other related discipline required.
Internal Audit experience in the financial services, or Insurance field.
A Certified Internal Auditor (CIA), Certified Public Accountant (CPA) or similar professional certification is strongly preferred and will need to be obtained within the first 18 months of TIAA employment.
Securities licenses may be carried by the broker-dealer if the auditor is involved in auditing broker dealer activities.
NOTE: The incumbent of this position will be designated as a ‘Tier 1 Access Person’ for personal trading purposes. Such a designation imposes restrictions on securities holdings and trading activities of the incumbent, and of certain family members, which should be fully understood before any offer of employment for this position is accepted.
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This organization is an equal employment opportunity (EEO) employer, dedicated to maintaining a work environment free of bias, harassment, discrimination and retaliation. As an EEO employer, this organization expressly prohibits discrimination, harassment, and retaliation on the basis of race, creed, ethnicity, color, age, religion, sex, sex stereotype, pregnancy (including childbirth, breastfeeding or related medical conditions where applicable), sexual orientation, gender, gender identity, gender expression, transgender, marital status, national origin, ancestry, physical or mental disability, requesting a reasonable accommodation based on mental or physical disability, medical condition (as defined by applicable law), genetic history and information, citizenship status, military or veteran status, or any other status protected by federal, state, or local law or ordinance or regulation (collectively referred to here as ‘protected characteristics’).
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