Auditor Sr - Compliance

Hicksville, NY, United States - Audit - Posted Feb 20, 2020
Requisition Number: 2000005F

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The Senior Auditor will conduct audits ranging from simple to complex; generate work papers based on testing of audit procedures established during the planning phase of the audit process; effectively communicate findings; and follow-up on outstanding audit and regulatory issues.


Effectively analyzes and assesses risk to develop audit procedures, execute test procedures, and conclude on the operating effectiveness of relevant controls. Plans the audit engagement by documenting the planning process in the Planning Memorandum. Effectively leads interviews/meetings to ensure relevant information is obtained for analysis. Works independently to execute audit procedures, and updates the Audit Manager at appropriate times (e.g., weekly status of audit control testing, scope changes, identification of potential issues, etc.). Performs an appropriate level of testing based on the scope and risk, without over- or under-auditing. Produces work paper documentation that is clear and concise, provides adequate detail of work performed and conclusions reached, meets IAD and professional standards, requires minimal revisions/review notes, and is sufficient to receive a satisfactory rating from external reviewers, i.e., KPMG, FRB, FDIC, NYS. Proposes solutions and recommendations to the Audit Manager and/or Audit Director when obstacles or problems are encountered throughout the audit. Proposes and identifies opportunities for continuous auditing. Runs continuous auditing query and reviews results for potential findings. Manages time (by keeping abreast of audit status and hours incurred) to meet established deadlines, milestones, and time budgets. Is responsive to client requests, and fosters positive working relationships with auditees and the audit team. Supervises, as assigned, the performance and completion of the audit procedures to provide assurance that work was performed effectively and relevant control weaknesses were identified and reported. Identifies control issues and findings timely, and ensures findings are based on relevant facts and are accurately characterized (based on risk). Documents control findings in observation forms timely using the standard format (issue, background, findings, root cause, risk effect, recommendation). Clearly communicates control findings to audit clients as they are identified, and works with clients to develop effective agreed upon actions with related timeframes for completion. Shares IA process and business area knowledge with team members. Fosters a team environment, is inclusive and works well with others. May provide support, such as coaching, mentoring, training, etc. to help other team members. MAY ALSO BE REQUIRED TO: Conduct periodic on-site branch audits according to an established audit schedule. Identify and document risks and controls. Communicate branch audit findings to Audit Manager and/or Audit Director, branch management and regional management. Identify and suggest solutions, develop findings and recommendations for drafting of audit reports. Performs special projects, and additional duties and responsibilities as required. Where applicable and when performing the responsibilities of the job, employees are accountable to maintain Sarbanes-Oxley compliance and adhere to internal control policies and procedures.


Bachelor's Degree in Accounting or Finance. CPA and/or CIA preferred, or currently in process. Four to ten years audit experience in Financial Services Industry and/or large public accounting firm(s); preferably community banking.


Broad knowledge of banking, accounting, and internal controls and the ability to apply knowledge in an audit function. Knowledge of consumer regulatory compliance requirements. Proficient in the use of Microsoft Excel and Word. Solid verbal, written and interpersonal communication skills. Solid analytical skills. Ability to travel. Ability to work with all levels of staff and Management. Ability to handle multiple tasks simultaneously and meet established deadlines.


Based in Westbury, NY, New York Community Bancorp, Inc. is the parent of a New York State-chartered bank - New York Community Bank. At September 30, 2019, the Company had assets of $52.5 billion, deposits of $31.6 billion, and stockholders' equity of $6.7 billion.

Our bank subsidiary features a divisional structure. New York Community Bank serves customers through 239 branches encompassing eight divisions: Queens County Savings Bank, Roslyn Savings Bank, Richmond County Savings Bank, Roosevelt Savings Bank, and Atlantic Bank in New York; Garden State Community Bank in New Jersey; Ohio Savings Bank in Ohio; and AmTrust Bank in Florida and Arizona. With a longstanding reputation of strength, stability and service, NYCB is proud to be committed to the communities it serves.

Branch Out and help recruit top talent for NYCB through the employee referral program. All NYCB employees are encouraged to submit referrals. Locate top talent right in the community where you live, work and play. Amazing individuals are all around be sure to let them know how they can become a part of the NYCB family.

NYCB is an equal opportunity employer that prohibits discrimination in hiring or terms and conditions of employment on the basis of race, color, age, sex, national origin, ethnicity, religion, marital status, disability, military status, veteran status, domestic violence victim status, gender identity or expression, sexual orientation, genetic information or any other classification protected by the federal, state, and local laws and ordinances.

This policy is applicable to all terms and conditions of employment including, but not limited to: recruitment and selection, promotion and demotion, transfer, training and development, compensation, benefits, leaves of absence and termination. When necessary, NYCB will reasonably accommodate employees and applicants with disabilities or with religious requirements necessitating accommodation.

In addition, NYCB complies with all applicable laws which govern nondiscrimination in employment in every location in which NYCB does business.

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