JOB TITLE:             INTERNAL AUDIT & QUALITY CONTROL MANAGER

FLSA STATUS:        EXEMPT
REVISED DATE:    9/4/2024

REPORTS TO:        CHIEF FINANCIAL OFFICER AND BOARD OF DIRECTORS (AUDIT COMMITTEE)

SUPERVISES:         QUALITY CONTROL REPRESENTATIVE
                                   MORTGAGE QUALITY CONTROL REPRESENTATIVE

PRIMARY FUNCTION:
This position exists to develop, coordinate, perform and supervise the internal audit and quality control functions for the credit union.  This position is responsible for Aassessing the effectiveness of internal controls and procedures, accuracy of records and efficiency of operations.  Documents and reports on findings.  Makes recommendations for improvement.  Communicates professionally and effectively with all staff and levels of management.

PRINCIPAL DUTIES/RESPONSIBILITIES:
1.    Work together with team to ensure the following processes are completed in an accurate and timely fashion:
        a.    New member account audits
        b.    New loan audits
        c.    Mortgage quality control audits
        d.    File maintenance reviews
2.    Develop and implement an the internal audit framework, including risk assessments, documentation of internal controls and creation of internal audit plans.  Ensuring execution of the annual audit plan.  
3.    Develop, Create and maintain workpapers of internal audits performed.
4.    Research the root cause of any internal audit or quality control deficiencies, identifylooking for trends, training opportunities or potential process and procedure changes.
5.    Coordinate any outsourced internal audits and/or regulatory examinations.  
6.    Provide ongoing quality control reporting to leadership including but not limited toon quality control findings and trends.
7.    Communicate regularly with the Audit Committee, informing them of significant problems or concerns.  
8.    Ability to successfully perform the duties, responsibilities, and functions of the positions overseen and train employees to successful performance in job           duties, responsibilities, and functions.
9.    Responsible for hiring, communicating expectations, defining goals, coaching, and developing, recognizing success, and evaluating performance and               behavior of their direct reports.
10.   Actively and thoughtfully communicate with their supervisor, plan their goals and development, take accountability for their actions, and strive for                   excellence.

GENERAL DUTIES/RESPONSIBILITIES:
11.    Promote products and services.
12.    Attend all meetings as required.
13.    Maintain clean and professional work area and appearance.
14.    Maintain positive public relations and promote credit union within the community.
15.    Complete educational programs as required.
         a.    Perform the following commitments of service to each and every member at all times:Make a good first impression, be dressed professionally and greet people with a smile and a firm handshake.
         b.    Keep a smile in my voice as well as on my face.
         c.    Answer the telephone by the third ring.
         d.    Call people by name and thank them.
         e.    Give people my full and undivided attention; focus on the person face to face and on the telephone.
         f.    Take responsibility for solving the individual's problem instead of referring it to someone else.
         g.    Deliver on commitments of action(s) to be taken, so excuses won't be necessary.
         h.    Follow through on necessary action(s) to be sure the problem is solved.
         i.    Know that what's important is not only who or what created the problem but how the problem can be corrected.
         j.    Protect confidential information.
16.    Other duties as assigned.

REQUIREMENTS OF THE POSITION:
•    Bachelor’s degree in Finance Bachelor’s degree in finance, Accounting, Business, or equivalent related experience.
•    Three to five years’ Internal Audit experience.  
•    Internal Audit certification preferred.
•    Three to five years’ management experience.
•    Excellent communication and organizational skills.
•    Professional, pleasant, an personality.
•    Cash handling experience.
•    Ability to perform under pressure.
•    Excellent analytical skills.
•    Team player.
•    Knowledge of credit union operations.
•    Proficient computer knowledge, including Microsoft Excel.
•    Decision making skills.
•    Ability to problem solve.

PHYSICAL REQUIREMENTS:
Sedentary work, exerting up to 10 pounds of force occasionally and/or negligible amount of force frequently or constantly to lift, carry, push, pull or otherwise move objects, including the human body. Sedentary work involves sitting most of the time. Jobs are sedentary if walking and standing are required only occasionally, and all other sedentary criteria are met.

PHYSICAL ACTIVITIES:
The following physical activities will be required on a day-to-day basis: climbing, stooping, crouching, reaching, walking, pulling, fingering, feeling, hearing, balancing, kneeling, crawling, standing, pushing, lifting, grasping, talking, repetitive motions.

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed are representative, and reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions if they are otherwise qualified.

VISUAL/PERCEPTION ACTIVITY:
Administrative, Clerical, Data Entry operators, Inspection, (work at distances close to the eyes).

WORKING CONDITIONS:
The worker is not substantially exposed to adverse environmental conditions (such as in typical office or administrative work).

HUMAN RELATION SKILLS NEEDED:
The ability to communicate effectively with members, staff, and contacts outside of the credit union in a polite, courteous timely, accurate and efficient manner. Patience in dealing with a difficult member.

INTERNAL TRAINING REQUIREMENTS:
Please refer to the credit union intranet for the internal training requirements for this position.

ANNUAL TRAINING REQUIREMENTS:
Compliance and Regulatory (BSA, OFAC, etc.) 
Security Awareness Training
Diversity, Ethics, Sexual Harassment, and Sensitivity