The Audit Examiner is generally tasked to ensure that all policies, guidelines, procedures and internal controls set by the management and other regulatory bodies are complied with and undertaken by the department.
The Audit Examiner is responsible in conducting audit reviews/engagement assigned by the Section Head or Team Lead or the Audit Department Head. May act as assisting member on audit engagements.
The Audit Examiner shall ensure adherence to existing internal control procedures while maintaining the highest quality of service.
SPECIFIC DUTIES AND RESPONSILIBITIES:
A. Management
Reports directly to the Section Head or to Team Lead as applicable.B. Operation
Assist Team Lead in the conduct of audit reviews across the bank, be it assurance or consultancy audit services. Gathers, analyzes and organizes pertinent data/information obtained from all available sources necessary for conducting financial, operations and management audit of the Bank Examines, reviews transaction documents, financial records and systems and procedures to determine propriety and conformity with existing policies, procedures and practices; takes note of deviations and recommends measures to correct deficiencies Review functions, operations and performance of offices and branches to determine adequacy and effectiveness of systems and procedures as well as internal controls adopted in the administration of day-to-day transactions Prepares audit findings/observations identifying the risks/implications and submits Findings Worksheet and Working Papers to the designated Team Leader (TL) for review within the defined timeline Assists the TL in summarizing audit exceptions and recommendations prior to preparation of final draft of the audit report Accomplishes proper filing of working papers and ensures completeness of support documents for issues raised during the engagement, in conformance with the ISPPIA Standards.Keeps continuously informed on various banking policies, rules, procedures and practices regulating banking operations.Provides the audit team with needed office supplies; attends to preparation of travel orders, letters of introduction, securing cash advances and other pre-engagement requirements of the team Perform such other duties that may be assigned by the Team Lead, Section Head, or Audit Head from time to time.C. Custodianship:
Working Papers and other documents applicableD. General Authority:
Gathers, analyzes, organizes pertinent data/information obtained as well as examines and review transaction documents from all available sources necessary for conducting financial, operations and management audit.E. Monitoring and Reporting:
Draft Audit Reports (Team Leader)Updates of Audit Findings for the year from AuditeesWORKING RELATIONS:
1. Internal Interactions – All departments
2. External Interactions – Depend on the situation, if assistance/seeking of help on such performance of review from external auditor or other regulatory bodies, as permitted by Audit Head.