Heartland Financial USA

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Operational Senior Staff Auditor

at Heartland Financial USA

Posted: 1/18/2019
Job Status: Full Time
Job Reference #: 18-1333

Job Description

Heartland Financial USA, Inc. is a growing dynamic organization with many locations offering uniquely different banking and financial solutions for businesses and personal clients. As a performance driven company, we strive to create a culture of excellence with high standards, and high values while providing outstanding growth and involvement opportunities for employees. Join a team that makes "Great Things Happen!"


The Operational Senior Staff Auditor performs internal audits to independently and objectively assess accuracy of financial records, effectiveness of controls, efficiency of operation, safeguarding of assets and compliance with rules and regulations as they pertain to Bank Operations.


1. Works directly with Internal Audit personnel in conducting Operational Audits for each business unit, including but not limited to Consumer Lending, Credit Card, Branch Banking, Deposit Operations, Treasury Management, Item Processing, ACH, Wire Transfer and Mortgage Servicing, to ensure accuracy of financial records, assess internal controls and the efficiency of operations.
2. Performs audits and/or audit-related tasks in conformance with the international standards for the Professional Practice of Internal Auditing Standards using the following process:
a. Assists Internal Audit management personnel in preparing risk assessments.
b. Assists Internal Audit management personnel in developing audit programs outlining testing activities.
c. Develops recommendations for control improvements and presents them to management.
d. Maintains adequate supporting work papers to ensure audit reports are properly supported.
e. Work closely with Financial, Sarbanes-Oxley (SOX)/COSO Internal Auditor and other Internal Audit personnel in sharing of best practices and developing programs to strengthen the internal control and compliance environment.
f. Clearly articulates and reports on results of audits to Company Senior Management and the Audit Committee as requested.
g. Tracks management action plans for managing risk associated with control weaknesses resulting from internal and external audits and/or regulatory safety and soundness examinations.
3. Performs audit work under limited supervision with moderate latitude for initiative and independent judgment. The work involves:
a. Interviewing personnel to document process flows, control objectives, risks, and control procedures;
b. With assistance, defining the audit scope, objectives and testing procedures;
c. Performing the test steps;
d. Reporting the results and conclusions to be reviewed by senior level Internal Audit personnel.
4. Assists the Internal Audit Managers and/or Internal Audit Director in the execution of more complex financial, operational and/or compliance audits and performs internal control testing in accordance with Sarbanes-Oxley Section 404 and/or COSO guidance.
5. Assists with providing on-the-job training to the Staff Auditors and Interns; and answers any audit-related questions as needed.
6. May be asked to review work papers of Staff Auditors and Interns for less complex audits and make the necessary suggestions for changes, if needed.
7. Maintains credentials through continuing education, as applicable.
8. Attends internal/external meetings and seminars to expand professional expertise to support assigned functions, as requested.
9. Completes annual E-Learning Plan and other relevant training as assigned and keeps up-to-date knowledge as it relates to the job function.

1. Performs other duties as assigned.

III: SUPERVISORY RESPONSIBILITIES: This position does not have supervisory responsibilities but informally leads changing project personnel.

Bachelor’s Degree in Accounting, Finance, Business and/or Management Information Systems, required.
1. 3-5 years of previous audit, finance, risk management, consulting, regulatory and/or banking experience.
2. Previous experience leading and directing the work of a project
3. General banking knowledge that includes compliance with bank laws, regulations and internal controls.
4. Knowledge of audit procedures, including a working knowledge of IIA (Institute of Internal Auditors) Standards, Sarbanes-Oxley requirements and the COSO Internal Control Framework.
5. Knowledge of Microsoft Office products and sufficient technical skills.
6. Ability to organize multiple projects with a high attention to detail.
7. Ability to distinguish conclusions with major impact from those with minimal impact to the banks.
8. Ability to lead and direct the work of projects.
9. Sufficient written and verbal communication skills.
Preferred but not required:
? Certified Public Accountant (CPA);
? Certified Internal Auditor (CIA);
? Certified Financial Services Auditor (CFSA);
? Certified Fraud Examiner (CFE)
? Certified Bank Auditor (CBA)
? Certified Information Systems Auditor (CISA)
? Other related professional designation/certification

Scheduled Weekly Hours:


Time Type:

Full time

Founded in 1981, Heartland Financial USA, Inc. is a multi-billion multibank holding company offering uniquely different banking solutions for business and personal clients. Heartland's independent community banks are chartered in the Midwestern, Southwestern and Western United States.

The Heartland vision is to differentiate itself by highlighting its uniqueness as a commercial banking organization supported by a strong retail delivery system. As one of the top 100 bank holding companies nationwide, Heartland delivers high-quality financial products and service to clients in the Midwestern, Southwestern and Western United States.

Heartland's common stock is traded through the NASDAQ® Global Select Market System under the symbol "HTLF."

EOE/AA Employer · M/F/Disabled/Vet

Member FDIC · Equal Housing Lender

Employment at Heartland Financial USA, Inc. is employment at will

Posted 30+ Days Ago

Full time


Application Instructions

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