Business Process Senior Auditor

As a Business Process Senior Auditor on our Internal Audit & Enterprise Risk Management team, you will be focused on operational audits of Business Processes, SOX 404 testing, as well as Enterprise Risk Management (ERM) and Fraud Risk Assessment (FRA) activities. The Senior Auditor helps the company to accomplish its objectives and improve business operations through an independent and objective assurance and advisory approach designed to add value. The Senior Auditor will report to the IA Manager and will work with various business partners. Specifically, this role is responsible for assisting the Audit Manager planning operational audits, conducting fieldwork (executing, documenting and interpreting testing), and preparing draft audit findings for reporting to senior management. The Business Process audit team works closely with the IT Audit & Data Analytics team, and the entire IA team will utilize data analytics/visualizations and automation technologies (Robotic Process Automation/RPA, Generative AI, etc.).

The ideal candidate is an ex-Big 4, highly motivated self-starter with prior experience in operational Internal Audits, Enterprise Risk Management, and SOX in the Fintech or Software industry who has superior written and oral communication skills, takes pride in the accuracy and timeliness of their work and is used to working as part of a remote team and collaborating with business partners in offshore locations such as India and Mexico.

How you'll contribute:

• Assist in planning and conducting operational internal audit projects in accordance with the Institute of Internal Auditors (IIA) professional practice standards
• Assist the IA Manager with administrative coordination/project management of the SOX 404 compliance program, annual IA plan and Enterprise Risk Assessment, based on defined timelines and budgets
• Contribute to the identification and assessment of risks
• Contribute to ongoing development of the ERM, Fraud Risk Management programs
• Perform interviews with stakeholders, take accurate notes
• Schedule meetings, request documents from business partners
• Obtain, analyze and evaluate existing documentation, previous reports, data, flowcharts
• Document processes in concise narratives
• Develop process flowcharts and data flow diagrams
• Evaluate internal controls design and operating effectiveness
• Evaluate compliance with policies and procedures
• Perform work within the budget and manage tasks accurately based on timeline
• Develop audit test procedures when needed
• Perform Test of Design (TOD) and Test of Effectiveness (TOE) based on pre-existing audit program, re-test remediated controls to determine if the control gap was successfully remediated
• Audit financial data of varying complexity to ensure proper financial reporting
• Perform and incorporate data analysis in audit planning, workpaper support, final reports
• Prepare clear, concise, accurate, logical, and detailed workpapers for work performed and conclusions reached; document these according to professional practice standards
• Identify and research issues with supported analysis and propose solutions
• Explain complex and/or sensitive information in a straightforward manner
• Provide meaningful recommendations to improve policies/ procedures/ systems/ processes and address root causes of ineffective or inefficient controls
• Work with business partners to address control gaps and monitor action plans
• Exercise judgment and discretion related to conducting audit work
• Participate in special projects as assigned by Internal Audit management
• Promote an ethical and risk-aware culture at the company
• Maintain knowledge of the business of Blend Platform and Title365
• Maintain knowledge of generally accepted auditing and accounting standards and maintain professional certifications (e.g., CIA, CPA, CISA)

Who you are:

• Bachelor's Degree in a business discipline
• Big 4 (Deloitte, EY, KPMG, PwC) Advisory or Assurance background
• Strong understanding of Business Processes for a software company
• Strong business judgment that enables issue identification and appropriate escalation
• Strong critical thinking, analytical and investigative skills
• Strong project and time management skills
• Ability to effectively juggle multiple projects and keep Manager informed of any issues
• Ability to think independently, take ownership, and drive initiatives to resolution
• Ability to provide meaningful recommendations to improve policies, procedures, systems, processes; as well as to address root causes of ineffective/inefficient controls
• Ability to explain complex and/or sensitive information in a straightforward manner
• Ability to manage stakeholders in a service oriented, problem-solving, practical mindset
• Strong rapport and relationship building skills to collaborate and positively influence partnerships across the company
• Proactive and self-initiating work style
• Integrity, openness, and transparency
• Intellectual curiosity
• Critical thinker, ability to identify root cause of issues

Required Skills

• Minimum of 3 years experience in internal audit or external audit
• Experience working as part of a remote team
• Work collaboratively with the business to address control gaps, monitor action plans
• Prior experience obtaining, analyzing and evaluating existing documentation, previous reports, data, flowcharts
• Prior experience developing process flowcharts and data flow diagrams from scratch
• Prior experience documenting processes in concise narratives
• Prior experience performing interviews and taking accurate notes for audit workpapers
• Prior experience developing audit test procedures from scratch based on objectives
• Prior experience executing SOX 404 and internal audit testing according to defined budgets and timelines, including administrative tasks such as meeting coordination/scheduling and requesting documents
• Prior experience incorporating data analysis / data analytics (including the use of SQL-based tools) & AI tools and techniques in audit planning, testing, workpaper support and final reports
• Prior experience preparing clear, concise, accurate, logical, and detailed workpapers for work performed and conclusions reached
• Prior experience determining root causes for control deficiencies
• Prior experience identifying and researching issues with supported analysis, and proposing actionable/practical solutions, drafting audit reports
• Prior experience with these SOX Business Processes in a software company: Financial Statement Close & Reporting, Quote to Cash, Fixed Assets, HR/Payroll, Treasury, Debt & Cash Management, Equity Administration, Source to Pay, and Entity Level Controls.
• Prior experience working with IPE (Information Provided by Entity) and testing the completeness and accuracy of key reports and spreadsheets
• Prior experience assisting control owners in completing SOC (Service Organization Control) Report reviews for SOC1, including controls mapping and mapping of Complementary End User Computing Controls
• Prior experience coaching, supervising, and providing review comments to a staff auditor
• Experience leveraging Robotic Process Automation (RPA) and AI technology
• Experience with Visio, SOXHub, NetSuite, Workday HCM, Slack, GSuite
• Excellent written English communication skills: clear, concise, professional

Certification(s)

• Required:
  • Certified Internal Auditor (CIA) or if not a CIA, must be willing to become a CIA
  • Certified Public Accountant (CPA)/Chartered Accountant (CA)
• Optional: Certified Fraud Examiner (CFE), Certificate in Risk Management Assurance (CRMA), Certified Information Systems Auditor (CISA), Project Management Professional (PMP)