VP, Professional Practices Senior Audit Manager
Location: El Monte
Posted on: June 23, 2025
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Job Description:
The VP, Sr. Manager, Professional Practices Audit reports
directly to the SVP, Chief Audit Executive. Internal Audit
Professional Practices is responsible for: managing professional
practices; coordinating work planning activities; expanding and
supporting the use of technology and data analytics; monitoring and
reporting the implementation of the work plan; administering the
Audit system; and coordinating training and professional
development activities. DIRECT REPORTS 1-2 Direct Reports ESSENTIAL
FUNCTIONS • Responsible for the implementation and development of
leading practices, strategy, and methodology. This includes
proposing improvements and integrating audit professional
practices. Participating in Bank wide meetings and working groups
to support initiatives. Providing or assisting in methodology /
audit platform training. Producing sophisticated reporting on audit
issues and KPIs to senior management and committees. Management of
professional practices: • Serves as a thought leader on the
evolving role of internal audit and keeps abreast of innovations,
developments, and best practices in internal auditing to facilitate
continuous learning and improvements in the Internal Audit Section.
Includes research and draft standard operating procedures and
guidance to ensure compliance with the IIA International Standards
for the Professional Practice of Internal Auditing coordinating,
documenting, and communicating changes in policies, procedures,
guidance, methodologies, and approaches, etc. • Administers and
monitors the Internal Audit Section’s Quality Assurance and
Improvement Program (QAIP) - making sure the Section performs its
work in accordance with IIA International Standards for the
Professional Practice of Internal Auditing and best practice -
planning and coordinating independent internal and external quality
assurance reviews - advising the CAE on actions to further improve
the management and conduct of internal audit services - assisting
in editing and the quality assurance review of internal audit
outputs, as needed, to ensure consistent conformance with QAIP
requirements and good practices. • Coordinates the External Quality
Assurance reviews. Coordination of work planning activities: •
Optimize the efficiency and effectiveness of audit processes.
Advise and support the CAE and the Internal Audit Management Team
in scaling up assurance and advisory services in line with the
evolving risk profile of the organization and expectations of
stakeholders with an emphasis on rapid risk identification and
mitigation and reducing any assurance gap. • Develop and maintain
the audit universe - proposing strategies and methodologies for
risk-based audit work planning - coordinating audit work planning
activities - documenting, communicating, and ensuring broad
acceptance of the work plan - ongoing and dynamic enterprise risk
monitoring and proposing reprioritization of internal audit
services - maintaining and updating the audit work plan as
appropriate. • Serve as focal point and primary administrator of
the audit management software. This includes leading every effort
such as user requirement definition, acquisition, configuration,
and liaison with the IT, IS and vendors, training and supporting
end-users. • Partner with Internal Audit Management Team to
identify opportunities to utilize data analytics and automation in
methodology and reporting processes. • Expand and support the use
of technology and data analytics in risk-based work planning and
engagement-level planning, execution, and reporting. Monitor and
report the implementation of work plan: • Monitor progress of
assurance and advisory engagements. • Prepare report on the
implementation of the internal audit work plan -
coordinating/drafting the Internal Audit Section’s input to
Executive Board, and the Audit Committee. • Management Information/
Performance Measurement: develop and generate exception-based
management reporting, and KPIs against key department targets –
plans, projects, assignments. • Prepare summary issue reports on
common and cross cutting issues identified by assurance, advisory
and investigation activities - preparing advisory communications on
issues of significance and results of audit activities. • Manage
the issuance and disclosure of internal audit reports -
coordinating managements responses and any questions from
management, Risk Advisory Committee, BOD, external auditors, and
regulators. • Prepare Audit Committee materials. • Regulatory
Liaison: coordinate and communicate the department’s activities
with key regulators including preparation/delivery of material
required for examinations. Training and professional development
program: • Administer and monitor the IA Departments training and
professional development program. • Coordinate the identification
of skill gaps in relations to the IIA competency framework
competencies. • Develop a comprehensive training plan
medium/long-term training plan based on training needs identified
by staff and their managers - monitoring and reporting on
implementation of training plan. • Partner with bank management on
more complex assignments to implement enterprise-wide activities by
having a high-level of understanding of the business strategies;
being very knowledgeable of the organization, operations, policies,
and procedures, including the organizational hierarchy and
Representing Audit on more complex and/or critical bank committees,
projects, or tasks forums. • Carry out other tasks as may be
assigned by the CAE. QUALIFICATIONS Education: • Advanced
university degree (Master’s degree or equivalent) preferably in
business administration, finance, accounting or a related field. (A
first level university degree in combination with two additional
years of qualifying experience may be accepted in lieu of the
advanced university degree.) • Certification as a Certified
International Auditor (CIA), Certified Public Accountant (CPA),
Chartered Accountant (CA), Certified Information Systems Auditor
(CISA) or equivalent is desirable. Experience: • At least 3-5 years
of professional practices experience and/or 7 years of experience
in conducting /managing audit or control functions will be
considered. • Extensive knowledge and experience in developing
risk-based audit methodologies, risk assessments, annual planning,
risk and control, quality assurance practices. • Proven track
record in project management and coordination / integration efforts
across multiple audit groups. Skills: • Excellent communication –
presentation and writing ability: communications, trainings,
proposals, methodologies, and policies. • Solid knowledge of the
audit and banking /financial industry and its associated risks.
Keywords: , Carlsbad , VP, Professional Practices Senior Audit Manager, Accounting, Auditing , El Monte, California
