What are the responsibilities and job description for the Internal Auditor position at Axos Bank?
Axos:
We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.
Learn more about working here!
The Opportunity:
All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.
Equal Employment Opportunity:
Axos Bank is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.
Job Functions and Work Environment:
While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.
The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.
Axos Clearing is a leading correspondent clearing firm serving independent broker-dealers in the retail, active-trading, and institutional markets. Axos Clearing also offers flexible custody solutions for Registered Investment Advisers (RIA) and is a subsidiary of Axos Financial publicly traded on the New York Stock Exchange under the symbol "AX" (NYSE: AX).
We bring together human insight and digital expertise to anticipate the needs of our customers. Our team members are innovative, technologically sophisticated, and motivated to achieve.
Learn more about working here!
Our Omaha location is looking for an Internal Auditor to join their growing team. The Internal Auditor will act as the third line of defense, independently assessing and providing opinions on Axos’s controls to mitigate risks within the first and second line. They will analyze various business units and report on the design and/or effectiveness of their internal controls using a risk-based methodology.
The Role:- Perform operational audits of various departments and products to determine compliance with established policies and procedures and/or certain securities regulations
- Assist with examination of Company's Sarbanes-Oxley (SOX) compliance by reviewing and performing tests of key internal controls
- Identify and evaluate the design and operating effectiveness of controls
- COSO component documentation and testing
- Perform gap analysis
- Draft process documentation
- Manage remediation of audit findings
- On occasion, perform a review or investigate issues at the request of the Board or Management
- Conduct follow-up inquiry and remediation testing to ensure that agreed actions mitigate the associated risks and are completed within established time-lines
- Draft untactful reports and conclusions that include sufficient detail to clearly and concisely present complex audit analysis and results to relevant managers as well as the Audit Committee
- Contribute to the continuous improvement of the Internal Audit department
- Remain current on relevant company policies and procedures, as well as state and federal laws and regulations to ensure compliance
- Bachelor's degree in Management Information Systems, Business Administration, Accounting, Finance, Computer Science, or related
- 2 years' in an auditing and/or finance role involving SOX
- CPA, CISSP, CIA, CFSA or CISA credentials (or willing to work toward)
- Identify and evaluate the design and operating effectiveness of controls
- Proficient in Word, Excel, Power-Point
- Multi-task, prioritize workload and meet deadlines
- Work effectively as part of a team, while also successfully executing independent assignments
- Analyze and creatively solve problems
Preferred:
- Public accounting firm AND/OR large public company, ideally in the securities or financial services industry
- Working knowledge of regulations related to financial services including, 15c3-1, 15c3-3, 17a-13 and Account Statement Rule
Pre-Employment Drug Test:
All offers are contingent upon the candidate successfully passing a credit check, criminal background check, and pre-employment drug screening, which includes screening for marijuana. Axos Bank is a federally regulated banking institution. At the federal level, marijuana is an illegal schedule 1 drug; therefore, we will not employ any person who tests positive for marijuana, regardless of state legalization.
Equal Employment Opportunity:
Axos Bank is an Equal Opportunity employer. We are committed to providing equal employment opportunities to all employees and applicants without regard to race, religious creed, color, sex (including pregnancy, breast feeding and related medical conditions), gender, gender identity, gender expression, sexual orientation, national origin, ancestry, citizenship status, military and veteran status, marital status, age, protected medical condition, genetic information, physical disability, mental disability, or any other protected status in accordance with all applicable federal, state and local laws.
Job Functions and Work Environment:
While performing the duties of this position, the employee is required to sit for extended periods of time. Manual dexterity and coordination are required while operating standard office equipment such as computer keyboard and mouse, calculator, telephone, copiers, etc.
The work environment characteristics described here are representative of those an employee may encounter while performing the essential functions of this position. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions of this position.
IRS Revenue Agent (Examiner Experienced GS-13)
Internal Revenue Service -
Omaha, NE
Internal Accountant
Molded Products, Inc. -
Harlan, IA
QA Auditor
Nishna Productions, Inc. -
Red Oak, IA