Sr. Internal Auditor

The Sr. Internal Auditor oversees the Company’s internal audit activities and reports frequently to the President and the Board of Directors / Audit Committee. This position is responsible for understanding the objectives and risks associated with the Company’s enterprise-wide businesses, information systems, and financial operations. This understanding is the foundation for the Sr. Internal Auditor establishing a risk / control framework and ensuring that internal controls are properly identified, designed, established, documented, monitored, tested, and remediated, as necessary. Sr. Internal Auditor, while remaining independent, is to establish and maintain positive working relationships with management, external auditors, and consultants. Sr. Internal Auditor position will coordinate with the Company’s compliance functions and provide value to the Company through identifying operating efficiencies and assisting in improving functional effectiveness.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• The Sr. Internal Auditor is to lead the annual risk assessment and audit plan process. The Sr. Internal Auditor will also structure and implement an effective Internal Controls Over Financial Reporting (“ICFR”) infrastructure and begin the development of a SOX compliant organization. This is a hands-on position in a growing organization, and the Director is to facilitate the development of a strong and scalable control environment within the Company. The Sr. Internal Auditor is to present the risk assessment to the applicable levels of management and guide the evolution of the Company’s risk mitigation processes.

• The Sr. Internal Auditor will be an important voice in the policy and procedure maturation process for the Company. Establishing audit metrics and scope within the Company’s operations will also be under the Director’s dimension of responsibility. The Sr. Internal Auditor will report the adherence to policies and procedures to the President and the Board of Directors / Audit Committee and make recommendations for improvement in the Company’s operations.

• The Sr. Internal Auditor will be operating in a mortgage lending business footprint. Experience with mortgage banking activities, including fair value determinations and derivatives, and their impact upon ICFR is essential. A firm grasp on Information Technology (“IT”) platforms and system assessments is also important. Assisting the VP - Technology in facilitating (and documenting) IT General Controls and IT security aspects will be a material part of the position. Experience with GAAP, documenting ICFR evaluations, and regulatory requirements / compliance applicable to mortgage lending is also desired.

The Sr. Internal Auditor will also provide guidance as to the design and implementation of various system integration aspects.

• Educating management on the Three Lines of Defense risk control framework (and the value thereof) and their ownership of the control process, will be an essential piece of the Director’s undertakings. The Sr. Internal Auditor will foster communication and collaborate with management and various employees to establish a sound monitoring structure as to internal controls and providing guidance on risk management and internal control best practices.

• The Sr. Internal Auditor is expected to identify and analyze potential risks to, and opportunities for, the Company’s operations and their efficiency including the assessment of current operating compliance as to the Company’s customers and operations. Focus will be on providing understanding of the potential impact (and risk profile) of various operating activities and business practices on financial reporting, compliance, corporate governance, and business performance. The Sr. Internal Auditor is to actively participate in management meetings and / or committees, as assigned, to ensure that they are well-informed of key business developments that could have an impact on audit priorities, business operations, and the internal control environment.

DESIRED PERSONAL CHARACTERISTICS:

· Detail oriented and committed to the highest quality

· Self-Starter with positive Can-Do attitude

· Works well under pressure and relishes the responsibility that comes with the job

· Problem solving and analysis

· Communication proficiency

· An open-minded individual that embraces change and innovation

EDUCATION: Bachelor’s Degree required

EXPERIENCE:

· Experience in the Mortgage industry required

· 8+ years of internal audit experience required

· 5+ years of management experience preferred

JOB REQUIREMENTS:

• The Sr. Internal Auditor should have a minimum of eight years of direct internal audit experience, mostly within a mortgage banking operation environment. The Sr. Internal Auditor should be familiar and comfortable in an entity utilizing (or planning to) high levels of technology employed in their business. Preferably, some of the experience will be from working for a large public accounting firm. The Sr. Internal Auditor must also have sufficient management experience and the ability to clearly, concisely, and timely communicate (verbally and in writing) with management and the Audit Committee. Audit certification such as CPA, CIA, or CISA is strongly preferred.

• The Sr. Internal Auditor requires a solid comprehension of information technology platforms and concepts, as well as a strong ability to utilize basic technology applications (i.e., Word and Excel) as well as general ledger / financial reporting systems (including system conversions, interfaces, and upgrades). This individual must be detail oriented with a solid ability to multi-task and handle numerous pending items. The position requires exceptional judgment and the ability to prioritize and to work effectively with all levels of management while maintaining an independent mind-set. Must be able to demonstrate a broad application of principles, theories, and concepts in internal auditing standards, plus a working knowledge of disciplines related to auditable areas. Must be committed to professional development through relevant continuing education programs and be dedicated to quality assurance.

• The Sr. Internal Auditor must also be able to handle sensitive information on a confidential basis, and to perform and manage special projects or investigations at the request of the Company’s Board of Directors or Audit Committee.

Job Type: Full-time

Pay: $90,000.00 - $115,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Schedule:

• Monday to Friday

Education:

• Bachelor's (Required)

Experience:

• Accounting: 8 years (Required)
• Mortgage Industry: 8 years (Required)

Ability to Relocate:

• Santa Ana, CA: Relocate before starting work (Required)

Work Location: In person